U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 3
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Fish, Jr. Richard Edward
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(Last) (First) (Middle)
161 Inverness Drive West
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(Street)
Englewood, CO 80112
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(City) (State) (Zip)
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2. Date of Event Requiring Statement (Month/Day/Year)
December 4, 2000
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3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
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4. Issuer Name and Ticker or Trading Symbol
ICG Communications, Inc. (ICGX)
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5. Relationship of Reporting Person to Issuer
(Check all applicable)
[ ] Director [_] 10% Owner
[X] Officer (give title below) [_] Other (specify below)
Executive Vice President and Chief Financial Officer
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6. If Amendment, Date of Original (Month/Day/Year)
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7. Individual or Joint/Group Filing (Check applicable line)
[X] Form Filed by One Reporting Person
[_] Form Filed by More than One Reporting Person
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Table I -- Non-Derivative Securities Beneficially Owned
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<TABLE>
<CAPTION>
3. Ownership Form:
2. Amount of Securities Direct (D) or
1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership
(Instr. 4) (Instr. 4) (Instr. 5) (Instr. 4)
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<S> <C> <C> <C>
ICG Common Stock (ICGX) 200 Shares Direct
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</TABLE>
<PAGE>
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Table II -- Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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<TABLE>
<CAPTION>
5. Owner-
3. Title and Amount of Securities ship
Underlying Derivative Security Form of
2. Date Exercisable (Instr. 4) Derivative
and Expiration Date --------------------------------- 4. Conver- Security:
(Month/Day/Year) Amount sion or Direct 6. Nature of
---------------------- or Exercise (D) or Indirect
Date Expira- Number Price of Indirect Beneficial
1. Title of Derivative Exer- tion of Derivative (I) Ownership
Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5)
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<S> <C> <C> <C> <C> <C> <C> <C>
Employee Non-Qualified
Stock Option (right
to buy) (1) 8/24/09 Common Stock 15,000 $21.375 D
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Employee Non-Qualified
Stock Option (right
to buy) (2) 8/24/09 Common Stock 15,000 $21.375 D
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Employee Non-Qualified
Stock Option (right
to buy) (3) 4/27/10 Common Stock 60,000 $29.75 D
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</TABLE>
Explanation of Responses:
(1) Option vests and becomes exercisable in four equal annual installments
beginning August 25, 2000.
(2) Option vests and becomes exercisable at six month intervals over a five
year term if certain price conditions are met. Full vest of all uninvested
shares at end of five year term.
(3) Option vests and becomes exercisable over three years as follows: 6,000
shares on 4/28/01, 12,000 shares on 4/28/02, and 42,000 shares on 4/28/03.
/s/ Richard E. Fish, Jr. December 7, 2000
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Signature of Reporting Person Date
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