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Previous: HARLEY DAVIDSON CUSTOMER FUNDING CORP, 8-K, EX-23.3, 2000-11-17 |
Next: EMPIRE STATE MUNICIPAL EXEMPT TRUST GUARANTEED SERIES 155, 497, 2000-11-17 |
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<CAPTION>
---------------- U.S. SECURITIES AND EXCHANGED COMMISSION ----------------------------
F O R M 3 Washington, D.C. 20549 | OMB APPROVAL |
---------------- |--------------------------|
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES |OMB Number 3235-0104|
|Expires: October 31, 2001 |
|Estimated avg. burden |
|hours per response.....0.5|
Filed pursuant to Section 16(a) of the Securities Exchanged Act of 1934, ----------------------------
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act 1940
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|1.Name and Address of Reporting Person* |2.Date of Event Requiring |4.Issuer Name and Ticker or |6.If Amendment, Date of |
| | Statement | Trading Symbol | Original |
| | (Month/Day/Year) | | (Month/Day/Year) |
| Carter Stephen | | NTL Incorporated (NYSE: NLI) | |
|----------------------------------------| 11/14/00 |--------------------------------------------------------------|
| (Last) (First) (MI) | |5.Relationship of Reporting Person |7.Individual or Joint/ |
| |--------------------------| to Issuer | Group Filing |
| |3.IRS or Social Security | (Check all Applicable) | (Check Applicable Line) |
| 110 EAST 59TH STREET, 26TH FLOOR | Number of Reporting | ___ Director | |
|----------------------------------------| Person (Voluntary) | _X_ Officer (give title below) | _X_ Form filed by One |
| (Street) | | ___ 10% Owner | Reporting Person |
| | | ___ Other (specify below) | ___ Form filed by More |
| | | | than One Reporting |
| NEW YORK NY 10022 | | Chief Operating Officer Designate | Person |
|----------------------------------------------------------------------------------------------------------------------------------|
| (City) (State) (Zip) | |
| | TABLE I - Non-Derivative Securities Beneficially Owned |
|----------------------------------------------------------------------------------------------------------------------------------|
|1.Title of Security |2.Amount of Securities |3.Ownership Form: |4.Nature of Indirect Beneficial |
| (Instr. 4) | Beneficially Owned | Direct (D) or | Ownership |
| | (Instr. 4) | Indirect (I) | (Instr. 5) |
| | | (Instr. 5) | |
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<S> <C> <C> <C> <C>
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|--------------------------------------------|------------------------|------------------------|-----------------------------------|
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|--------------------------------------------|------------------------|------------------------|-----------------------------------|
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|--------------------------------------------|------------------------|------------------------|-----------------------------------|
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|--------------------------------------------|------------------------|------------------------|-----------------------------------|
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|--------------------------------------------|------------------------|------------------------|-----------------------------------|
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Reminder: Report on a separate line for each class securities owned directly or indirectly. SEC 1473 (7-96)
*If the form is filed by more than one reporting person, SEE Instruction 5(b)(v).
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FORM 3 (continued)
TABLE II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible security)
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|1.Title of Derivative |2.Date Exer- |3.Title and Amount of Securities |4.Conver- |5.Ownership |6.Nature of Indirect |
| Security | cisable and | Underlying Derivative Security | sion or | Form of | Beneficial |
| (Instr. 4) | Expiration | (Instr. 4) | Exercise | Derivative | Ownership |
| | Date | | Price of | Security: | (Instr. 5) |
| | (Month/Day/ | | Deriva- | Direct (D) | |
| | Year) | | tive | or | |
| |------------------|----------------------------------| Security | Indirect | |
| | Date | Expi- | | Amount or | | (I) | |
| | Exer- | ration | Title | Number | | (Instr. 5) | |
| | cisable | Date | | of Shares | | | |
| | | | | | | | |
|------------------------|---------|--------|--------------------|-------------|------------|--------------|-----------------------|
<S> <C> <C> <C> <C> <C> <C> <C> <C>
| Employee | | 9/13/ | | | | | |
| Stock Option | (1) | 2010 | Common Stock | 375,000 | $44.50 | D | |
|------------------------|---------|--------|--------------------|-------------|------------|--------------|-----------------------|
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|------------------------|---------|--------|--------------------|-------------|------------|--------------|-----------------------|
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|------------------------|---------|--------|--------------------|-------------|------------|--------------|-----------------------|
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|------------------------|---------|--------|--------------------|-------------|------------|--------------|-----------------------|
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|------------------------|---------|--------|--------------------|-------------|------------|--------------|-----------------------|
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|------------------------|---------|--------|--------------------|-------------|------------|--------------|-----------------------|
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Explanation of Responses:
(1) 10% are vested immediately, an additional 10% become vested each January 1st thereafter. Options are not exercisable until
September 14, 2002.
**Intentional misstatements or omissions of facts constitute Federal /s/ Stephen Carter 11/15/2000
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.
If space provided is insufficient, see Instruction 6 for procedure. SEC 1473 (7-96)
Potential persons who are to respond to the collections of information contained in this form are not
required to respond unless the form displays a currently valid OMB Number
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