-----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, QsZ4j3D/HDiv4HJcv4tzPBb91+8CjsB2vUysB9oOFJk8dyqckwUBsVdut9l24oTk rwtsOG9bPhGgNad1qOR0BA== 0000950172-99-001713.txt : 19991203 0000950172-99-001713.hdr.sgml : 19991203 ACCESSION NUMBER: 0000950172-99-001713 CONFORMED SUBMISSION TYPE: 424B3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19991202 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: 99767898 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 PROSPECTUS SUPPLEMENT NO. 5 Filed pursuant to Rule 424(b)(3) Reg Nos. 333-72335 and 333-72335-01 PROSPECTUS SUPPLEMENT NO. 5 (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. 5 supplements and amends the Prospectus dated June 7, 1999, as amended and supplemented by the Prospectus Supplements dated July 7, 1999, August 10, 1999, October 5, 1999 and November 22, 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 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. Boulder II Limited 1,220,000 * none 24,898 2. Boulder Management, Inc. 3,895,040 * none 79,491 3. Onex Industrial Partners Limited 5,540,000 * none 113,061 4. Pebble Capital, Inc. 1,544,960 * none 31,530
The Prospectus, together with this Prospectus Supplement No. 5, 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. 5 is December 2, 1999. SELLING SECURITYHOLDERS The following table sets forth, as of December 2, 1999, the respective principal amount of convertible notes beneficially owned and offered hereby by each selling securityholder, the common stock owned by each selling securityholder prior to the Original Offering (as defined in the Prospectus) and the common stock issuable upon conversion of such convertible notes, which may be sold from time to time by such selling securityholder pursuant to the Prospectus. Such information has been obtained from the 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 102,041 Aim High Yield II Fund 30,000 * none 612 Albert Luce, Jr. 140,000 * 50,000 2,857 Alexandra Global Investment Fund I LTD 2,000,000 * none 40,816 Allegheny Teledyne Inc. Pension Plan 700,000 * none 14,286 Alpine Associates 4,750,000 * none 96,939 Alpine Partners, L.P. 500,000 * none 10,204 Alsam Foundation 150,000 * 7,016 3,061 Alscott Investments, LLC 2,200,000 * none 44,898 American Stores 900,000 * 21,193 18,367 Argent Convertible Arbitrage Fund Ltd. 2,500,000 * none 51,020 Argent Classic Convertible Arbitrage Fund L.P. 5,650,000 * none 115,306 Argent Classic Convertible Arbitrage Fund (Bermuda) L.P. 16,350,000 2.73 none 333,673 Aristeia International Ltd. 1,749,000 * none 35,694 Aristeia Trading, LLC 1,251,000 * none 25,531 Arkansas Teachers Retirement 1,757,000 * none 35,857 Aspen Partner's 300,000 * 4,125 6,122 Associated Jewish Charities of Baltimore 250,000 * 13,113 5,102 AXP Bond Fund Inc. 880,000 * none 17,959 AXP Variable Portfolio-Bond Fund 340,000 * none 6,939 AXP Variable Portfolio-Managed Fund 480,000 * 4,781,250 9,796 BancBoston Robertson Stephens 500,000 * none 10,204 Bancroft Convertible Fund, Inc. 1,750,000 * none 35,714 Bankers Trust Trustee For Chrysler Corp. Emp #1 Pension Plan dated 4/1/89 1,630,000 * none 33,265 Baptist Health of South Florida 160,000 * none 3,265 Bear Stearns & co Inc. 1,410,000 * none 28,776 Bill W. Mintz TTEE Revocable Trust 200,000 * none 4,081 Blue Cross Blue Shield of Michigan Retirement Income 1,110,000 * 54,036 22,653 BNP Arbitrage SNC 2,500,000 * 20,375 51,020 Boston Museum of Fine Arts 113,000 * none 2,306 Boulder II Limited 1,220,000 * none 24,898 Boulder Management, Inc. 3,895,040 * none 79,491 Brown Family Trust A 100,000 * 4,576 2,041 Brown University 1,500,000 * 78,545 30,612 BTC Partners LLP 130,000 * 50,000 2,653 The California Endowment 1,250,000 * 41,250 25,510 California Healthcare Foundation 600,000 * 28,479 12,245 Caregroup Pension Plan 45,000 * 15,000 918 Catholic Healthcare West Funded Depreciation 335,000 * 38,500 6,837 Catholic Healthcare West Retirement 335,000 * 12,000 6,837 Catholic Healthcare West Self Insurance 125,000 * 4,125 2,551 Catholic Healthcare West Workers Compensation 90,000 * 3,000 1,837 CBBB Cotenancy 220,000 * 9,924 4,490 Chase Manhattan NA Trustee For IBM Retirement Plan dated 12/18/45 2,772,000 * none 56,571 Cheyne Walk Trust 725,000 * 23,008 14,796 Christine Russell Revocable Trust 500,000 * 15,703 10,204 CIBC Wood Grundy International Equity Arbitrage Corp. 3,500,000 * none 71,429 Citibank, et al Employees Retirement Plan 2,070,000 * 633,750 42,245 Clorox Co. Employee Benefits 400,000 * 20,688 8,163 Colgate-Palmolive Company Retirement Trust 800,000 * none 16,327 Conseco Direct Life 700,000 * none 14,286 Corlon Associates I 400,000 * 13,654 8,163 Corlon Co. Foundation 110,000 * 3,599 2,245 Cowles Investment Partnership 180,000 * 8,408 3,673 CPR (USA) Inc. 275,000 * none 5,612 Credit Suisse First Boston Corporation 250,000 * none 5,102 Deeprock & Co. 1,000,000 * none 20,408 D.E. Shaw & Co. 1,000,000 * none 20,408 Deutsche Bank Securities Inc. 38,730,000 6.46 none 790,408 Discovery Group of Funds 190,000 * 8,546 3,878 Donald G. Linber & Joyce Linber, jnt 27,000 * 1,233 551 Donaldson, Lufkin & Jenrette Securities Corp. 25,545,000 4.26 none 521,327 Duckbill & Co. 1,000,000 * none 20,408 Duke University Employees Retirement Plan 160,000 * 56,250 3,265 Duke University Long Term Pool 780,000 * 262,500 15,918 Dunham & Associates Ser III 110,000 * none 2,245 East Bay Community Foundation 230,000 * none 4,694 East Oakland Youth Development Fund 160,000 * 6,336 3,265 Ellsworth Convertible Growth and Income Fund, Inc. 1,250,000 * none 25,510 Engineers Joint Pension Fund 303,000 * none 6,184 Erin Partners Two 65,000 * 2,911 1,327 Fidelity Fixed-Income Trust: Fidelity High Income Fund 17,020,000 2.84 none 347,347 Fidelity Summer Street Trust: Fidelity Capital & Income Fund 3,000,000 * none 61,224 Fidelity Management Trust Company on behalf of accounts managed by it 2,980,000 * none 60,816 Forest Performance Fund LP 165,000 * none 3,367 Forest Alternative Strategies Fund II LP Series A-5M 240,000 * none 4,898 Forest Alternative Strategies Fund II LP Series A-5T 780,000 * none 15,918 Forest Fulcrum Fund LP 7,700,000 * none 157,143 Forest Global Convertible Fund Series A-5 9,700,000 1.62 none 197,959 Forest Global Convertible Fund Series B-1 65,000 * none 1,327 Franklin & Marshall College 127,000 * none 2,592 The Gabelli Global Convertible Securities Fund 145,000 * none 2,959 General Electric Pension Trust 1,000,000 * 1,093,750 20,408 General Motors Welfare Benefit Trust 1,000,000 * none 20,408 Geo-Volor Ltd. 500,000 * 28,064 10,204 The Georgia International Fund Ltd. 200,000 * 79,546 4,082 Georgia Partners 20,000,000 3.33 679,048 408,163 Glaxo Wellcome Benefits Plan 450,000 * 315,000 9,184 Glaxo Wellcome Cash Balance Plan 450,000 * 26,000 9,184 Global Bermuda Limited Partnership 1,500,000 * 27,813 30,612 Golden Rule Insurance Company 1,600,000 * none 32,653 Goldman, Sachs & Co. 1,000,000 * none 20,408 GranGem 23 41 LLC 250,000 * none 5,102 Greyhound Lines 50,000 * none 1,020 Greyhound Lines Inc. Amalgamated CNCL Retirement & Disability TR Imperial TR c/o Forest Investment Management LLC 70,000 * none 1,429 Guide Dogs for the Blind 500,000 * 14,494 10,204 HBK Cayman L.P. 4,944,000 * none 100,898 HBK Offshore Fund Ltd. 9,356,000 1.56 6,093,750 190,939 Henry J. Kaiser Family Foundation 550,000 * 16,545 11,224 Hign Bridge Capital Corporation 10,000,000 1.66 none 204,082 Horowitz Limited Partnership I 150,000 * 6,761 3,061 H&S Partners I, L.P. 20,000,000 3.33 none 408,163 The Income Fund of America, Inc. 50,000,000 8.33 none 1,020,408 Indiana University Foundation 650,000 * 386,250 13,265 Jackson Investment Fund Ltd. 625,000 * none 12,755 James Irvine Foundation 900,000 * 44,310 18,367 Janus Capital Corporation 19,378,000 3.23 none 395,469 Janus Growth and Income 2,340,000 * none 47,755 Janus Balance Fund 8,550,000 1.43 none 174,490 Janus Aspen Balanced 3,249,000 * none 66,306 Janus High Yield 1,000,000 * none 20,408 Janus Aspen High Yield 35,000 * none 714 Janus Equity Income Fund 3,874,000 * none 79,061 Janus Aspen Growth and Income 10,000 * none 204 JWF Balanced Fund 285,000 * none 5,816 JWF High Yield Bond Fund 35,000 * none 714 Janus Capital Corporation IDEX Balanced Fund 387,000 * none 7,898 Jeffrey Rymer 35,000 * 1,363 714 Jicarilla Apache Tribe 2,100,000 * 21,196 42,857 JMB Children's Holding Co. 600,000 * 206,250 12,245 JMG Convertible Investments L.P. 6,000,000 1.00 none 122,449 John Robert 110,000 * 5,323 2,245 J.P.Morgan & Co. Inc. 12,000,000 2.00 46,833 244,898 Julius Baer Securities 700,000 * none 14,286 Lakeshore International, Ltd. 3,000,000 * 55,563 61,224 Lazard Freres & CIE Paris 700,000 * none 14,286 LB Series Fund Inc. High Yield Portfolio 2,500,000 * none 51,020 LDG Limited 250,000 * none 5,102 Libertyview Plus Fund 225,000 * none 4,592 Loomis Sayles & Company, L.P. for Benefit of New England High Income Bond Fund 1,000,000 * none 20,408 LLT Limited 880,000 * none 17,959 Mainstay Convertible Fund 4,000,000 * none 81,633 McMahon Securities Company, L.P. 2,715,000 * none 55,408 Melinda Marfield Trust 35,000 * 1,568 714 Merrill Lynch Pierce Fenner & Smith Inc. 796,000 * none 16,245 Metropolitan Museum of Art 750,000 * 268,750 15,306 MGBA Investments 100,000 * 5,128 2,041 Michigan State University 400,000 * 15,291 8,163 Milton L. Schwartz Revocable Family Trust 110,000 * 5,261 2,245 Monumental Life Insurance Company-(teamsters-camden non-enhanced) 7,000,000 1.17 none 142,857 Morgan Stanley Dean Witter 5,500,000 * none 112,245 Morgan Stanley Dean Witter Convertible Securities Trust 2,500,000 * none 51,020 Mount Sinai School of Medicine 800,000 * none 16,327 Museum of Fine Arts, Boston 16,000 * none 327 National Bank of Canada 900,000 * none 18,367 NationsBanc Montgomery Securities LLC 1,500,000 * none 30,612 N.B. Giustina Trust 150,000 * 8,453 3,061 New Hampshire Retirement System 94,000 * none 1,918 New York Life Insurance Company 10,750,000 1.79 none 219,388 Nicholas Applegate Convertible Fund 530,000 * none 10,816 NMS Services Inc. 10,000,000 1.67 none 204,082 Oak Foundation USA, Inc. 200,000 * 372,250 4,082 Onex Industrial Partners Limited 5,540,000 * none 113,061 Oppenheimer Champion Income Fund 11,700,000 1.95 none 238,776 Oppenheimer Strategic Income Fund 10,250,000 1.71 none 209,184 Oppenheimer High Yield Fund 2,000,000 * none 40,816 Oppenheimer Strategic Bond Fund 400,000 * none 8,163 Oppenheimer High Income Fund 3,550,000 * none 72,449 Oppenheimer Convertible Securities Fund 4,000,000 * none 81,633 OZ Master Fund, Ltd. 3,000,000 * none 61,224 OS Ventures 120,000 * 4,509 2,449 Pace Setter 1, L.P. 1,000,000 * none 20,408 Pacific Life Insurance Company 500,000 * none 10,204 Palladin Securities, LLC 700,000 * none 14,286 Pebble Capital, Inc. 1,544,960 * none 31,530 Pell Rudman Trsu Co, NA 1,400,000 * 102,918 28,571 Penn Treaty Network America Insurance Company 110,000 * none 2,245 Peoples Benefit Life Insurance Company 6,000,000 1.00 none 122,449 Peyton Anderson Foundation 260,000 * 81,250 5,306 PGEP III LLC 700,000 * none 14,286 Physicians Life 166,000 * none 3,388 Pilgrim Convertible Fund 2,610,000 * none 53,265 PIMCO Convertible Bond Fund 300,000 * none 6,122 Pitney Bowes Retirement Fund 6,540,000 1.09 none 133,469 Prime 66 Partners, Inc. 50,000,000 8.33 5,481,089 1,020,408 Pro Mutual 59,000 * none 1,204 Putnam Convertible Income Growth Trust 5,520,000 * none 112,653 Putnam Convertible Opportunities and Income Trust 46,000 * none 939 Quattro Offshore Fund Ltd. 250,000 * none 5,102 R2 Investments, LDC 8,500,000 1.42 6,550,000 173,470 Radiology Associates Employee Benefit 250,000 * 12,199 5,102 Radiology Group Profit Sharing Plan 80,000 * 3,449 1,633 Radiology Medical Group Pension Plan 75,000 * 3,253 1,531 Radiology Medical Group P/S San Diego 40,000 * 16,250 816 Ralco Inc. 200,000 * 10,564 4,082 Ramius, L.P. 1,583,000 * none 32,306 Ramius Fund, Ltd. 2,375,000 * none 48,469 RCG Baldwin L.P. 792,000 * none 16,163 RCM Financial Services LP 350,000 * 143,750 7,143 Ridgeway/Floum Profit Sharing Plan 100,000 * 3,663 2,041 Riverside Church 450,000 * 21,425 9,184 Ronald Family Trust A 850,000 * 32,776 17,347 S&J Partners 120,000 * 5,168 2,449 Salomon Brothers Asset Management, Inc. 29,050,000 4.84 none 592,857 Salomon Smith Barney Inc. 1,100,000 * none 22,449 San Diego City Retirement 839,000 * none 17,122 San Diego County Convertible 2,125,000 * none 43,367 Sbaggs Family Foundation 110,000 * 3,708 2,245 S.C. Johnson Retirement Plan 240,000 * 11,249 4,898 South Fork Partners 4,000,000 * 135,560 81,633 Southern Methodist University 240,000 * 9,689 4,898 Southport Management Partners, L.P. 1,080,000 * none 22,041 Southport Partners International, Ltd. 2,130,000 * none 43,469 Southwest Franciscan Missions Inc. 150,000 * 6,619 3,061 Speer Leeds & Kellogg 1,000,000 * none 20,408 Starvest Combined Portfolio 375,000 * none 7,653 State of Maryland Retirement Plan 3,500,000 * none 71,429 State Street Bank Custodian For GE Pension Trust 861,000 * none 17,571 Sterling Partners 1,943,000 * 33,928 39,653 Stoel Rives LLP 370,000 * 17,630 7,551 Susquehanna Capital Group 2,545,000 * none 51,939 Tribeca Investments LLC 4,000,000 * none 81,633 Triton Capital Investments, LTD 6,000,000 1.00 none 122,449 Trustees of Hamilton College 700,000 * 237,500 14,286 TQA Vantage Plus Fund, Ltd. 300,000 * 375,000 6,122 TQA Vantage Fund, Ltd. 3,540,000 * 4,425,000 72,245 TQA Leverage Fund, L.P. 1,610,000 * none 32,857 Union Bancaire Privee 6,500,000 1.08 none 132,653 University of Oregon 265,000 * 10,680 5,408 University of Rochester 15,000 * none 306 University of Washington Endowment Fund 370,000 * 125,000 7,551 Van Kampen Harbor Fund 4,300,000 * none 87,755 Van Kampen Convertible Securities Fund 700,000 * none 14,286 Wake Forest University 598,000 * none 12,204 Warburg Dillon Read LLC 9,400,000 1.57 none 191,837 Western Cancer Center Medical Group P/S 35,000 * 13,750 714 Zellerbach Family Fund 200,000 * 8,030 4,082
- --------------- * 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-----