-----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, KdcleNtoxaix/OOLx2+pD8nLOgJFpxf4iWNRFfYI3hmn5Wa4hKILGSllZ8UYek48 tMQ9MQ0iBm33RUdqc2TF8Q== 0000950172-99-001363.txt : 19991018 0000950172-99-001363.hdr.sgml : 19991018 ACCESSION NUMBER: 0000950172-99-001363 CONFORMED SUBMISSION TYPE: 424B3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19991006 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NTL COMMUNICATIONS CORP CENTRAL INDEX KEY: 0000906347 STANDARD INDUSTRIAL CLASSIFICATION: CABLE & OTHER PAY TELEVISION SERVICES [4841] IRS NUMBER: 521822078 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 424B3 SEC ACT: SEC FILE NUMBER: 333-72335 FILM NUMBER: 99723661 BUSINESS ADDRESS: STREET 1: 110 E 59TH ST STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2129068440 MAIL ADDRESS: STREET 1: 110 EAST 59TH STREET STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: NTL INC /DE/ DATE OF NAME CHANGE: 19970326 FORMER COMPANY: FORMER CONFORMED NAME: INTERNATIONAL CABLETEL INC DATE OF NAME CHANGE: 19930601 424B3 1 NTL COMMUNICATIONS CORP - PROSPECTUS SUPPLEMENT #3 Filed pursuant to Rule 424(b)(3) Reg Nos. 333-72335 and 333-72335-01 PROSPECTUS SUPPLEMENT NO. 3 (To Prospectus dated June 7, 1999) NTL Communications Corp. 7% Convertible Subordinated Notes Due 2008 (NTL Incorporated shares of common stock) This Prospectus Supplement No. 3 supplements and amends the Prospectus dated June 7, 1999, as amended and supplemented by the Prospectus Supplements dated July 7, 1999 and August 10, 1999 (the "Prospectus"), relating to the 7% Convertible Subordinated Notes Due 2008 (the "Convertible Notes") of NTL Communications Corp. and the shares of NTL Incorporated's common stock, par value $.01 per share ("Common Stock"), issuable upon conversion of the Convertible Notes. The table on pages 75 through 80 of the Prospectus sets forth information with respect to the Selling Securityholders (as defined in the Prospectus) and the respective amounts of Convertible Notes beneficially owned by each Selling Securityholder that may be offered pursuant to the Prospectus (as supplemented and amended). This Prospectus Supplement amends that table by (1) correcting the amount of common stock to be registered for Aim High Yield II Fund, with the corresponding item set forth below, and (2) adding the remaining items set forth below to that table.
PRINCIPAL AMOUNT AT MATURITY PERCENT OF DEBENTURES OF TOTAL COMMON STOCK COMMON STOCK BENEFICIALLY OUTSTANDING OWNED PRIOR TO BE OWNED AND CONVERTIBLE TO ORIGINAL REGISTERED BY SELLING SECURITY HOLDERS OFFERED NOTES OFFERING THE PROSPECTUS ------------------------ ---------------- ----------- ------------ -------------- 1. Aim High Yield II Fund 30,000 * none 490 2. Credit Suisse First Boston Corporation 250,000 * none 4,082 3. PIMCO Convertible Bond Fund 300,000 * none 4,898
The Prospectus, together with this Prospectus Supplement No. 3, constitutes the prospectus required to be delivered by Section 5(b) of the Securities Act of 1933, as amended, with respect to offers and sales of the Convertible Notes and the Common Stock issuable upon conversion of the Convertible Notes. Prospective investors should carefully consider matters discussed under the caption "Risk Factors" beginning on page 10 of the Prospectus. THESE SECURITIES HAVE NOT BEEN APPROVED OR DISAPPROVED BY THE SECURITIES AND EXCHANGE COMMISSION OR ANY STATE SECURITIES COMMISSION NOR HAS THE SECURITIES AND EXCHANGE COMMISSION OR ANY STATE SECURITIES COMMISSION PASSED UPON THE ACCURACY OR ADEQUACY OF THIS PROSPECTUS. ANY REPRESENTATION TO THE CONTRARY IS A CRIMINAL OFFENSE. The date of this Prospectus Supplement No. 3 is October 6, 1999. [FOLLOWING IS A RESTATEMENT OF PAGES 75-80 OF THE PROSPECTUS DATED JUNE 7, 1999, AS AMENDED AND SUPPLEMENTED BY THE PROSPECTUS SUPPLEMENTS DATED JULY 7, 1999, AUGUST 10, 1999 AND OCTOBER 6, 1999] SELLING SECURITYHOLDERS
PRINCIPAL AMOUNT AT MATURITY PERCENT OF DEBENTURES OF TOTAL COMMON STOCK COMMON STOCK TO BENEFICIALLY OUTSTANDING OWNED PRIOR BE REGISTERED OWNED AND CONVERTIBLE TO ORIGINAL BY THE SELLING SECURITY HOLDERS OFFERED NOTES OFFERING PROSPECTUS (1) - ------------------------ ---------------- ----------- ------------ --------------- Aim High Yield Fund $ 5,000,000 * none 81,632 Aim High Yield II Fund 30,000 * none 490 Albert Luce, Jr. 140,000 * 40,000 2,285 Alexandra Global Investment Fund I LTD 2,000,000 * none 32,653 Allegheny Teledyne Inc. Pension Plan 700,000 * none 11,428 Alpine Associates 4,750,000 * none 77,550 Alpine Partners, L.P. 500,000 * none 8,163 Alsam Foundation 150,000 * 5,613 2,448 Alscott Investments, LLC 2,200,000 * none 35,918 American Stores 900,000 * 16,954 14,693 Argent Convertible Arbitrage Fund Ltd. 2,500,000 * none 40,816 Argent Classic Convertible Arbitrage Fund L.P. 5,650,000 * none 92,244 Argent Classic Convertible Arbitrage Fund (Bermuda) L.P. 16,350,000 2.73 none 266,938 Aristeia International Ltd. 1,749,000 * none 28,555 Aristeia Trading, LLC 1,251,000 * none 20,424 Arkansas Teachers Retirement 1,757,000 * none 28,685 Aspen Partner's 300,000 * 3,300 4,897 Associated Jewish Charities of Baltimore 250,000 * 10,490 4,081 AXP Bond Fund Inc. 880,000 * none 14,367 AXP Variable Portfolio-Bond Fund 340,000 * none 5,551 AXP Variable Portfolio-Managed Fund 480,000 * 3,825,000 7,836 BancBoston Robertson Stephens 500,000 * none 8,163 Bancroft Convertible Fund, Inc. 1,750,000 * none 28,571 Bankers Trust Trustee For Chrysler Corp. Emp #1 Pension Plan dated 4/1/89 1,630,000 * none 26,612 Baptist Health of South Florida 160,000 * none 2,612 Bear Stearns & co Inc. 1,410,000 * none 23,020 Bill W. Mintz TTEE Revocable Trust 200,000 * none 3,265 Blue Cross Blue Shield of Michigan Retirement Income 1,110,000 * 43,229 18,122 BNP Arbitrage SNC 2,500,000 * 16,300 40,816 Boston Museum of Fine Arts 113,000 * none 1,844 Brown Family Trust A 100,000 * 3,661 1,632 Brown University 1,500,000 * 62,836 24,489 BTC Partners LLP 130,000 * 40,000 2,122 The California Endowment 1,250,000 * 33,000 20,408 California Healthcare Foundation 600,000 * 22,783 9,795 Caregroup Pension Plan 45,000 * 12,000 734 Catholic Healthcare West Funded Depreciation 335,000 * 30,800 5,469 PRINCIPAL AMOUNT AT MATURITY PERCENT OF DEBENTURES OF TOTAL COMMON STOCK COMMON STOCK TO BENEFICIALLY OUTSTANDING OWNED PRIOR BE REGISTERED OWNED AND CONVERTIBLE TO ORIGINAL BY THE SELLING SECURITY HOLDERS OFFERED NOTES OFFERING PROSPECTUS (1) - ------------------------ ---------------- ----------- ------------ --------------- Catholic Healthcare West Retirement 335,000 * 9,600 5,469 Catholic Healthcare West Self Insurance 125,000 * 3,300 2,040 Catholic Healthcare West Workers Compensation 90,000 * 2,400 1,469 CBBB Cotenancy 220,000 * 7,939 3,591 Chase Manhattan NA Trustee For IBM Retirement Plan dated 12/18/45 2,772,000 * none 45,257 Cheyne Walk Trust 725,000 * 18,406 11,836 Christine Russell Revocable Trust 500,000 * 12,562 8,163 CIBC Wood Grundy International Equity Arbitrage Corp. 3,500,000 * none 57,142 Citibank, et al Employees Retirement Plan 2,070,000 * 507,000 33,795 Clorox Co. Employee Benefits 400,000 * 16,550 6,530 Colgate-Palmolive Company Retirement Trust 800,000 * none 1,306 Conseco Direct Life 700,000 * none 11,428 Corlon Associates I 400,000 * 10,923 6,530 Corlon Co. Foundation 110,000 * 2,879 1,795 Cowles Investment Partnership 180,000 * 6,726 2,938 CPR (USA) Inc. 275,000 * none 4,489 Credit Suisse First Boston Corporation 250,000 * none 4,082 Deeprock & Co. 1,000,000 * none 16,326 D.E. Shaw & Co. 1,000,000 * none 16,326 Deutsche Bank Securities Inc. 38,730,000 6.46 none 632,326 Discovery Group of Funds 190,000 * 6,837 3,102 Donald G. Linber & Joyce Linber, jnt 27,000 * 986 440 Donaldson, Lufkin & Jenrette Securities Corp. 22,545,000 3.76 none 368,081 Duckbill & Co. 1,000,000 * none 16,326 Duke University Employees Retirement Plan 160,000 * 45,000 2,612 Duke University Long Term Pool 780,000 * 210,000 12,734 East Bay Community Foundation 230,000 * 3,755 East Oakland Youth Development Fund 160,000 * 5,069 2,612 Ellsworth Convertible Growth and Income Fund, Inc. 1,250,000 * none 20,408 Engineers Joint Pension Fund 303,000 * none 4,946 Erin Partners Two 65,000 * 2,329 1,061 Fidelity Fixed-Income Trust: Fidelity High Income Fund 17,020,000 2.84 none 277,877 Fidelity Summer Street Trust: Fidelity Capital & Income Fund 3,000,000 * none 48,979 Fidelity Management Trust Company on behalf of accounts managed by it 2,980,000 * none 48,652 Forest Performance Fund LP 165,000 * none 2,693 Forest Alternative Strategies Fund II LP Series A-5M 240,000 * none 3,918 Forest Alternative Strategies Fund II LP Series A-5T 780,000 * none 12,734 Forest Fulcrum Fund LP 7,700,00 * none 125,714 Forest Global Convertible Fund Series A-5 9,700,000 1.62 none 158,367 PRINCIPAL AMOUNT AT MATURITY PERCENT OF DEBENTURES OF TOTAL COMMON STOCK COMMON STOCK TO BENEFICIALLY OUTSTANDING OWNED PRIOR BE REGISTERED OWNED AND CONVERTIBLE TO ORIGINAL BY THE SELLING SECURITY HOLDERS OFFERED NOTES OFFERING PROSPECTUS (1) - ------------------------ ---------------- ----------- ------------ --------------- Forest Global Convertible Fund Series B-1 65,000 * none 1,061 Franklin & Marshall College 127,000 * none 2,073 The Gabelli Global Convertible Securities Fund 145,000 * none 2,367 General Electric Pension Trust 1,000,000 * 875,000 16,326 General Motors Welfare Benefit Trust 1,000,000 * none 16,326 Geo-Volor Ltd. 500,000 * 22,451 8,163 The Georgia International Fund Ltd. 200,000 * 63,637 3,265 Georgia Partners 20,000,000 3.33 543,238 326,530 Glaxo Wellcome Benefits Plan 450,000 * 252,000 7,346 Glaxo Wellcome Cash Balance Plan 450,000 * 20,800 7,346 Global Bermuda Limited Partnership 1,500,000 * 22,250 24,489 Golden Rule Insurance Company 1,600,000 * none 26,122 Goldman, Sachs & Co. 1,000,000 * none 16,326 GranGem 23 41 LLC 250,000 * none 4,081 Greyhound Lines 50,000 * none 816 Greyhound Lines Inc. Amalgamated CNCL Retirement & Disability TR Imperial TR c/o Forest Investment Management LLC 70,000 * none 1,142 Guide Dogs for the Blind 500,000 * 11,595 8,163 HBK Cayman L.P. 4,944,000 * none 80,718 HBK Offshore Fund Ltd. 9,356,000 1.56 4,875,000 152,750 Henry J. Kaiser Family Foundation 550,000 * 13,236 8,979 Hign Bridge Capital Corporation 10,000,000 1.66 none 163,265 Horowitz Limited Partnership I 150,000 * 5409 2,448 H&S Partners I, L.P. 20,000,000 3.33 none 326,530 The Income Fund of America, Inc. 50,000,000 8.33 none 816,325 Indiana University Foundation 650,000 * 309,000 10,612 Jackson Investment Fund Ltd. 625,000 * none 10,204 James Irvine Foundation 900,000 * 35,448 14,693 JanusCapital Corporation 19,378,000 3.23 none 316,374 Janus Growth and Income 2,340,000 * none 38,204 Janus Balance Fund 8,550,000 1.43 none 139,591 Janus Aspen Balanced 3,249,000 * none 53,044 Janus High Yield 1,000,000 * none 16,326 Janus Aspen High Yield 35,000 * none 571 Janus Equity Income Fund 3,874,000 * none 63,248 Janus Aspen Growth and Income 10,000 * none 163 JWF Balanced Fund 285,000 * none 4,653 JWF High Yield Bond Fund 35,000 * none 571 Janus Capital Corporation IDEX Balanced Fund 387,000 * none 6,318 Jeffrey Rymer 35,000 * 1,090 571 PRINCIPAL AMOUNT AT MATURITY PERCENT OF DEBENTURES OF TOTAL COMMON STOCK COMMON STOCK TO BENEFICIALLY OUTSTANDING OWNED PRIOR BE REGISTERED OWNED AND CONVERTIBLE TO ORIGINAL BY THE SELLING SECURITY HOLDERS OFFERED NOTES OFFERING PROSPECTUS (1) - ------------------------ ---------------- ----------- ------------ --------------- Jicarilla Apache Tribe 2,100,000 * 16,957 34,285 JMB Children's Holding Co. 600,000 * 165,000 9,795 JMG Convertible Investments L.P. 6,000,000 1.00 none 97,959 John Robert 110,000 * 4,258 1,795 J.P.Morgan & Co. Inc. 12,000,000 2.00 37,466 195,918 Julius Baer Securities 700,000 * none 11,428 Lakeshore International, Ltd. 3,000,000 * 44,450 48,979 Lazard Freres & CIE Paris 700,000 * none 11,428 LB Series Fund Inc. High Yield Portfolio 2,500,000 * none 40,816 LDG Limited 250,000 * none 4,081 Libertyview Plus Fund 225,000 * none 3,673 Loomis Sayles & Company, L.P. for Benefit of New England High Income Bond Fund 1,000,000 * none 16,326 LLT Limited 880,000 * none 14,367 Mainstay Convertible Fund 4,000,000 * none 65,306 McMahon Securities Company, L.P. 2,715,000 * none 44,326 Melinda Marfield Trust 35,000 * 1,254 571 Metropolitan Museum of Art 750,000 * 215,000 12,244 MGBA Investments 100,000 * 4,102 1,632 Michigan State University 400,000 * 12,233 6,530 Milton L. Schwartz Revocable Family Trust 110,000 * 4,209 1,795 Monumental Life Insurance Company - (teamsters-camden non-enhanced) 7,000,000 1.17 none 114,285 Morgan Stanley Dean Witter 5,500,000 * none 89,795 Morgan Stanley Dean Witter Convertible Securities Trust 2,500,000 * none 40,816 Mount Sinai School of Medicine 800,000 * none 13,061 Museum of Fine Arts, Boston 16,000 * none 261 National Bank of Canada 900,000 * none 14,693 NationsBanc Montgomery Securities LLC 1,500,000 * none 24,489 N.B. Giustina Trust 150,000 * 6,762 2,448 New Hampshire Retirement System 94,000 * none 1,534 New York Life Insurance Company 10,750,000 1.79 none 175,509 Nicholas Applegate Convertible Fund 530,000 * none 8,653 NMS Services Inc. 10,000,000 1.67 none 163,265 Oak Foundation USA, Inc. 200,000 * 297,800 3,265 Oppenheimer Champion Income Fund 11,700,000 1.95 none 191,020 Oppenheimer Strategic Income Fund 10,250,000 1.71 none 167,346 Oppenheimer High Yield Fund 2,000,000 * none 32,653 Oppenheimer Strategic Bond Fund 400,000 * none 6,530 Oppenheimer High Income Fund 3,550,000 * none 57,959 Oppenheimer Convertible Securities Fund 4,000,000 * none 65,306 PRINCIPAL AMOUNT AT MATURITY PERCENT OF DEBENTURES OF TOTAL COMMON STOCK COMMON STOCK TO BENEFICIALLY OUTSTANDING OWNED PRIOR BE REGISTERED OWNED AND CONVERTIBLE TO ORIGINAL BY THE SELLING SECURITY HOLDERS OFFERED NOTES OFFERING PROSPECTUS (1) - ------------------------ ---------------- ----------- ------------ --------------- OZ Master Fund, Ltd. 3,000,000 * none 48,979 OS Ventures 120,000 * 3,607 1,959 Pace Setter 1, L.P. 1,000,000 * none 16,326 Pacific Life Insurance Company 500,000 * none 8,163 Palladin Securities, LLC 700,000 * none 11,428 Pell Rudman Trsu Co, NA 1,400,000 * 82,334 22,857 Penn Treaty Network America Insurance Company 110,000 * none 1,795 Peoples Benefit Life Insurance Company 6,000,000 1.00 none 97,959 Peyton Anderson Foundation 260,000 * 65,000 4,244 PGEP III LLC 700,000 * none 11,428 Pilgrim Convertible Fund 2,610,000 * none 42,612 PIMCO Convertible Bond Fund 300,000 * none 4,898 Pitney Bowes Retirement Fund 6,540,000 1.09 none 106,775 Prime 66 Partners, Inc. 50,000,000 8.33 4,384,871 816,325 Pro Mutual 59,000 * none 963 Putnam Convertible Income Growth Trust 5,520,000 * none 90,122 Putnam Convertible Opportunities and Income Trust 46,000 * none 751 Quattro Offshore Fund Ltd. 250,000 * none 4,081 R2 Investments, LDC 8,500,000 1.42 5,240,000 138,775 Radiology Associates Employee Benefit 250,000 * 9,759 4,081 Radiology Group Profit Sharing Plan 80,000 * 2,759 1,306 Radiology Medical Group Pension Plan 75,000 * 2,602 1,224 Radiology Medical Group P/S San Diego 40,000 * 13,000 653 Ralco Inc. 200,000 * 8,451 3,265 Ramius, L.P. 1,583,000 * none 25,844 Ramius Fund, Ltd. 2,375,000 * none 38,775 RCG Baldwin L.P. 792,000 * none 12,930 RCM Financial Services LP 350,000 * 115,000 5,714 Ridgeway/Floum Profit Sharing Plan 100,000 * 2,930 1,632 Riverside Church 450,000 * 17,140 7,346 Ronald Family Trust A 850,000 * 26,221 13,877 S&J Partners 120,000 * 4,134 1,959 Salomon Brothers Asset Management, Inc. 29,050,000 4.84 none 474,284 Salomon Smith Barney Inc. 1,100,000 * none 17,959 San Diego City Retirement 839,000 * none 13,697 Sbaggs Family Foundation 110,000 * 2,966 1,795 S.C. Johnson Retirement Plan 240,000 * 8,999 3,918 PRINCIPAL AMOUNT AT MATURITY PERCENT OF DEBENTURES OF TOTAL COMMON STOCK COMMON STOCK TO BENEFICIALLY OUTSTANDING OWNED PRIOR BE REGISTERED OWNED AND CONVERTIBLE TO ORIGINAL BY THE SELLING SECURITY HOLDERS OFFERED NOTES OFFERING PROSPECTUS (1) - ------------------------ ---------------- ----------- ------------ --------------- South Fork Partners 4,000,000 * 108,448 65,306 Southern Methodist University 240,000 * 7,751 3,918 Southport Management Partners, L.P. 1,080,000 * none 17,632 Southport Partners International, Ltd. 2,130,000 * none 34,775 Southwest Franciscan Missions Inc. 150,000 * 5,295 2,448 Speer Leeds & Kellogg 1,000,000 * none 16,326 Starvest Combined Portfolio 375,000 * none 6,122 State of Maryland Retirement Plan 3,500,000 * none 57,142 State Street Bank Custodian For GE Pension Trust 861,000 * none 14,057 Sterling Partners 1,943,000 * 27,142 31,722 Stoel Rives LLP 370,000 * 14,104 6,040 Susquehanna Capital Group 2,545,000 * none 41,550 Tribeca Investments LLC 4,000,000 * none 65,306 Triton Capital Investments, LTD 6,000,000 1.00 none 97,959 Trustees of Hamilton College 700,000 * 190,000 11,428 TQA Vantage Plus Fund, Ltd. 300,000 * 300,000 4,897 TQA Vantage Fund, Ltd. 3,540,000 * 3,540,000 57,795 TQA Leverage Fund, L.P. 1,610,000 * none 26,285 Union Bancaire Privee 6,500,000 1.08 none 106,122 University of Oregon 265,000 * 8,544 4,326 University of Rochester 15,000 * none 244 University of Washington Endowment Fund 370,000 * 100,000 6,040 Van Kampen Harbor Fund 4,300,000 * none 70,203 Van Kampen Convertible Securities Fund 700,000 * none 11,428 Wake Forest University 598,000 * none 9,763 Warburg Dillon Read LLC 9,400,000 1.57 none 153,469 Western Cancer Center Medical Group P/S 35,000 * 11,000 571 Zellerbach Family Fund 200,000 * 6,424 3,265
- ------------------------- * Less than one percent. (1) The shares of common stock to be registered hereby are calculated on an "as converted" basis using the conversion rate described on the front cover page of this Prospectus. -----END PRIVACY-ENHANCED MESSAGE-----