-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, FjerxWMdT1dk4HPVBAcjRjCThoHctrXl+ejId8nQCOZbffRZe8i2pfEFmCAq9dlV q3Hpr9dJ5HthJ3MYrNtwQA== 0001014909-99-000183.txt : 19991018 0001014909-99-000183.hdr.sgml : 19991018 ACCESSION NUMBER: 0001014909-99-000183 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990930 FILED AS OF DATE: 19991012 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNITEDGLOBALCOM INC CENTRAL INDEX KEY: 0000887949 STANDARD INDUSTRIAL CLASSIFICATION: CABLE & OTHER PAY TELEVISION SERVICES [4841] IRS NUMBER: 841116217 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-21974 FILM NUMBER: 99726056 BUSINESS ADDRESS: STREET 1: 4643 S ULSTER ST STREET 2: STE 1300 CITY: DENVER STATE: CO ZIP: 80237 BUSINESS PHONE: 3037704001 MAIL ADDRESS: STREET 1: 4643 S ULSTER ST STREET 2: STE 1300 CITY: DENVER STATE: CO ZIP: 80237 FORMER COMPANY: FORMER CONFORMED NAME: UNITED INTERNATIONAL HOLDINGS INC DATE OF NAME CHANGE: 19921119 COMPANY DATA: COMPANY CONFORMED NAME: SCHNEIDER MARK L CENTRAL INDEX KEY: 0000939651 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 4643 S ULSTER ST STREET 2: STE 1300 CITY: DENVER STATE: CO ZIP: 80237 BUSINESS PHONE: 3037704001 MAIL ADDRESS: STREET 1: 4613 S ULSTER ST STREET 2: SUITE 1300 CITY: DENVER STATE: CO ZIP: 80237 4 1
- ------------------ U.S. SECURITIES AND EXCHANGE COMMISSION ---------------------------- | F O R M 4 | Washington, D.C. 20549 | OMB APPROVAL | - ------------------ |--------------------------| STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |OMB Number 3235-0287| [ ] Check this box if |Expires: September 30,1998| no longer Subject Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, |Estimated avg. burden | to Section 16. Section 17(a) of the Public Utility Holding Company Act of 1935 or |hours per response.....0.5| Section 30(f) of the Investment Company Act 1940 ---------------------------- - ------------------------------------------------------------------------------------------------------------------------------------ |1.Name and Address of Reporting Person* |2.Issuer Name and Ticker or Trading Symbol |6.Relationship of Reporting Person to | | | | Issuer (Check all Applicable) | | Schneider Mark L. | UnitedGlobalCom, Inc. (UCOMA) | | | | | X Director X 10% Owner | |----------------------------------------|------------------------------------------------|--- --- | | (Last) (First) (MI)|3.IRS Identification |4.Statement for Month/ | X Officer Other | | | Number of Reporting | Year |---(give title below) ---(Specify below)| | | Person, if an entity | | | | | (Voluntary) | September 1999 | Executive Vice President | | 4643 S. Ulster St., Suite 1300 | | | ------------------------ | |----------------------------------------| |------------------------|----------------------------------------| | (Street) | -- |5.If Amendment, Date of |7. Individual or Joint/Group Filing | | | | Original (Month/Year) | (Check Applicable Line) | | | | | | | | | | X Form filed by One Reporting Person | | | | -- |--- | | | | | Form filed by More than One | | Denver CO 80237 | | |--- Reporting Person | |----------------------------------------------------------------------------------------------------------------------------------| | (City) (State) (Zip) | | TABLE I - Non-Derivative Securities Acquired, Disposed of or Beneficially Owned | |----------------------------------------------------------------------------------------------------------------------------------| |1.Title of Security |2.Transac- |3.Trans. |4.Security Acquired (A) or |5.Amount of |6. |7.Nature of Indirect| | (Instr. 3) | tion Date | Code | Disposed of (D) | Securities |Own.| Beneficial | | |(Mon/Day/Yr)|(Instr.8)| (Instr. 3, 4 & 5) | Beneficially |Form| Ownership | | | |---------|-------------------------------| Owned at End of|(D) | (Instr. 4) | | | | | | |(A) | | Month |or | | | | |Code| V | Amount |(D) | Price | (Instr. 3 & 4) |(I) | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | |Class A Common Stock | 9/30/99 | M | | 19,607 | A | $14.025 | | D | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| |Class A Common Stock | 9/30/99 | M | | 30,393 | A | $9.50 | 71,000(1) | D | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | 789(2) | I |By 401(k) Plan | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | - - ---------------------------------------------------------------------------------------------------------------------------------- Reminder: Report on a separate line for each class securities owned directly or indirectly. SEC 1474 (7-97) *If the form is filed by more than one reporting person, see Instruction 4(b)(v). PAGE: 1 OF 2
FORM 4 (continued) TABLE II - Derivative Securities Acquired, Disposed of, Beneficially Owned (e.g., puts, calls, warrants, options, convertible security) - ------------------------------------------------------------------------------------------------------------------------------------ |1.Title of|2.Conver-|3. |4.Tran- |5.Number of |6.Date |7.Title and Amount |8.Price of|9.Number |10. |11.Nature | |Derivative|sion or |Trans| saction| Derivative |Exercisable | of Underlying |Derivative| of |Own.| of | |Security |Exercise |Date | Code | Securities |and | Securities |Security |Derivative|Form|Indirect | |(Instr. 3)|Price of |(Mon/|(Instr.8)| Acquired (A) or |Expiration | (Instr. 3 & 4) |(Instr. 5)|Securities|of |Beneficial| | |Deriva- | Day/| | Disposed of (D) |Date | | |Benefi- |Deri|Ownership | | |tive |Year)| | (Instr. 3, 4 & 5)|(Month/Day/ | | |cially |Sec.|(Instr. 4)| | |Security | | | | Year) | | |Owned at |Dir.| | | | | | | |-------------|---------------------| |End of |(D) | | | | | | | | | | |Amount or | |Month |or | | | | | |---------|-------------------|Date |Exp. | Title |Number of | |(Instr. 4)|Ind.| | | | | |Code| V | (A) | (D) |Exbl. |Date | |Shares | | |(I) | | |----------|---------|-----|----|----|---------|---------|------|------|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | |Employee | $14.025 |9/30/| M | | | 19,067 | (3) |12/20/| Class A | 19,607 | |11,765(1) | D | | |Stock | | 99 | | | | | | 01 | Common | | | | | | |Option | | | | | | | | | Stock | | | | | | |(right to | | | | | | | | | | | | | | | |buy) | | | | | | | | | | | | | | | |----------|---------|-----|----|----|---------|---------|------|------|----------|----------|----------|----------|----|----------| |Employee | $9.50 |9/30/| M | | | 30,393 |7/22/ |7/22/ | Class A | 30,393 | |98,555(1) | D | | |Stock | | 99 | | | | | 97 | 03 | Common | | | | | | |Option | | | | | | | | | Stock | | | | | | |(right to | | | | | | | | | | | | | | | |buy) | | | | | | | | | | | | | | | |----------|---------|-----|----|----|---------|---------|------|------|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|----|----|---------|---------|------|------|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|----|----|---------|---------|------|------|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|----|----|---------|---------|------|------|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|----|----|---------|---------|------|------|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|----|----|---------|---------|------|------|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: (1) The Reporting Person is a party to a Stockholders' Agreement. The securities reported herein do not include securities beneficially owned by other parties to the Stockholders' Agreement. The Reporting Person disclaims any beneficial ownership of such other parties' securities and this Report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purposes of Section 16 or for any other purpose. (2) As of December 31, 1998, the Reporting Person has acquired these shares as contributed by Issuer under Issuer's 401(k) Plan. The Reporting Person is vested in only 25% of the shares held in the 401(k) Plan on his behalf. (3) This option is exercisable in 48 equal monthly installments; as of 9/30/99 the option for 19,607 shares had vested. **Intentional misstatements or omissions of facts constitute Federal /s/ Mark L. Schneider October 7, 1999 Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------------ ----------------- **Signature of Reporting Person Date Note: File three copies of this form, one of which must be manually signed. Mark L. Schneider If space provided is insufficient, see Instruction 6 for procedure. SEC 1474 (7-97) Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMD Number PAGE: 2 OF 2
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