3 1 f3me1101.txt FORM 3 OMB APPROVAL -------------- OMB Number 3235-0104 Expires: January 31, 2005 Estimated average burden hours per response . . . .0.5 FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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 1. Name and Address of Reporting Person:* Ellis Mark -------------------------------------------------------------------- (Last) (First) (Middle) 18200 Von Karman Avenue, 10th Floor -------------------------------------------------------------------- (Street) Irvine California 92612 -------------------------------------------------------------------- (City) (State) (Zip) 2. Date of Event Requiring Statement (Month/Day/Year): 11/01/01 3. IRS Identification or Social Security Number of Reporting Person (Voluntary): 4. Issuer Name and Ticker or Trading Symbol: Universal Broadband Communications, Inc. -------------------------------------------------------------------- 5. Relationship of Reporting Person to Issuer (Check all applicable): Director ( X ) Officer (give title below) ( X ) 10% Owner ( X ) Other (specify below) ( ) President and Chief Executive Officer ------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year): 7. Individual or Joint/Group Filing (Check Applicable Line) Form filed by One Reporting Person (X) Form filed by More than One Reporting Person ( )

FORM 3 (Continued)

/s/ Mark Ellis September 12, 2002 ---------------------------------- -------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, SEE Instruction 6 for procedure. 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 OMB control number. Page 2

UNIVERSAL BROADBAND COMMUNICATIONS INC 3