-----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, Bj3OL8zqlUv6xcwqUXkjt2ZZaVgiub80lJ6VNLblLYpn7KqVz+CyVJuF7C4i34VT LarITzIqM8L2e0O/anu7qw== 0000769993-99-000622.txt : 19991213 0000769993-99-000622.hdr.sgml : 19991213 ACCESSION NUMBER: 0000769993-99-000622 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991031 FILED AS OF DATE: 19991210 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WESTERN WIRELESS CORP CENTRAL INDEX KEY: 0000930738 STANDARD INDUSTRIAL CLASSIFICATION: RADIO TELEPHONE COMMUNICATIONS [4812] IRS NUMBER: 911638901 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-28160 FILM NUMBER: 99772786 BUSINESS ADDRESS: STREET 1: 3650 131 ST AVENUE SE STREET 2: SUITE 400 CITY: BELLEVUE STATE: WA ZIP: 98006 BUSINESS PHONE: 4255868700 MAIL ADDRESS: STREET 1: 2001 NW SAMMAMISH RD CITY: ISSAQUAH STATE: WA ZIP: 98027 COMPANY DATA: COMPANY CONFORMED NAME: OTOOLE TERENCE M CENTRAL INDEX KEY: 0001029627 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2129027202 MAIL ADDRESS: STREET 1: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 4 1 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person* O'Toole, Terence M. - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Goldman, Sachs & Co. 85 Broad Street - -------------------------------------------------------------------------------- (Street) New York, New York 10004 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol Western Wireless Corporation (WWCA) ================================================================================ 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) ================================================================================ 4. Statement for Month/Year October/1999 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ X ] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) ------------------------------------------- ================================================================================ 7. Individual or Joint/Group Filing (Check Applicable Line) [ X ] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person ================================================================================
==================================================================================================================================== Table I -- Non-Derivative Securities Acquired, Disposed of, | or Beneficially Owned | ==================================================================================================================================== | | | | |6. | | | | | 4. |5. |Owner- | | | | | Securities Acquired (A) or |Amount of |ship | | | | 3. | Disposed of (D) |Securities |Form: |7. | |2. | Transaction| (Instr. 3, 4 and 5) |Beneficially |Direct |Nature of | |Transaction | Code | -------------------------------|Owned at End |(D) or |Indirect | 1. |Date | (Instr. 8) | | (A) | |of Month |Indirect |Beneficial| Title of Security |(Month/Day/ | -----------| Amount | or | Price |(Instr. 3 |(I) |Ownership | (Instr. 3) |Year) | Code | V | | (D) | |and 4) |(Instr.4)|(Instr. 4)| - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | Class A Common Stock | 10/22/99 | C | | 9,799,029 | A | 01 | 9,799,829 | I | 02,03 | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | Class A Common Stock | | | | | | | .1378 | I | 02,04 | ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). FORM 4 (continued)
==================================================================================================================================== Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned | (e.g., puts, calls, warrants, options, convertible securities) | ==================================================================================================================================== | | | | | | | |9. |10. | | | | | | | | | |Number |Owner-| | | | | | | | | |of |ship | | |2. | | | | | | |Deriv- |of | | |Conver- | | | 5. | |7. | |ative |Deriv-|11. | |sion | | | Number of | |Title and Amount | |Secur- |ative |Nature| |or | | | Derivative |6. |of Underlying |8. |ities |Secur-|of | |Exer- | |4. | Securities |Date |Securities |Price |Bene- |ity: |In- | |cise |3. |Trans-| Acquired (A) |Exercisable and |(Instr. 3 and 4) |of |ficially|Direct|direct| |Price |Trans- |action| or Disposed |Expiration Date |-----------------------|Deriv- |Owned |(D) or|Bene- | 1. |of |action |Code | of (D) |(Month/Day/Year) | |Amount |ative |at End |In- |ficial| Title of |Deriv- |Date |(Instr| (Instr. 3, |-----------------| |or |Secur- |of |direct|Owner-| Derivative |ative |(Month/ |8) | 4 and 5) |Date |Expira- | |Number |ity |Month |(I) |ship | Security |Secur- |Day/ |------| ------------ |Exer- |tion | |of |(Instr. |(Instr. |(Instr|(Instr| (Instr. 3) |ity |Year) |Code |V| (A)| (D) |cisable |Date |Title |Shares |5) |4) |4) |4) | - -----------------------------------------------------------------------------------------------------------------------------------| Class B Common | | | | | | | | |Class A | | | | | | Stock |1-for-1 |10/22/99| C | | |9,799,029|5/17/96 |N/A |Common Stock |9,799,029| 01 | -0- | I | 02,03| - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option | | | | | | | | |Class A | | | | | | (right to buy) |$8.125 | | | | | |Immed. |1/1/08 |Common Stock | 250 | | 250 | I | 02,05| - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option | | | | | | | | |Class A | | | | | | (right to buy) |$8.125 | | | | | | 06 |1/1/08 |Common Stock | 802 | | 802 | I | 02,06| ====================================================================================================================================
Explanation of Responses: 01: Shares of Class B Common Stock are convertible at any time at the option of the holder into an equal number of shares of Class A Common Stock. 02: The Reporting Person is a managing director of Goldman, Sachs & Co. ("Goldman Sachs"). Goldman Sachs is an indirect wholly-owned subsidiary of The Goldman Sachs Group, Inc. ("GS Group"). The Reporting Person disclaims beneficial ownership of the securities reported herein as indirectly owned except to the extent of his pecuniary interest therein, if any. 03: Goldman Sachs may be deemed to own beneficially and directly and GS Group may be deemed to own beneficially and indirectly 800 shares of Class A Common Stock ("Common Stock"). GS Group may be deemed to own beneficially and directly 68,821 shares of Common Stock. Goldman Sachs and GS Group may be deemed to own beneficially and indirectly in the aggregate 9,730,208 shares of Common Stock through certain investment partnerships, of which affiliates of Goldman Sachs and GS Group are the general partner or managing general partner (the "Limited Partnerships"). Goldman Sachs and GS Group each disclaim beneficial ownership of the securities owned by the Limited Partnerships except to the extent of their pecuniary interest therein. 04: Goldman Sachs and GS Group may be deemed to own beneficially and indirectly .1378 shares of Common Stock which may be deemed to be beneficially owned directly by the Goldman Sachs 1999 Exchange Place Fund, L.P. (the "1999 Exchange Fund"). An affiliate of Goldman Sachs and GS Group is the general partner of the 1999 Exchange Fund. Goldman Sachs is the investment manager of the 1999 Exchange Fund. The .1378 shares reported herein as indirectly beneficially owned by Goldman Sachs and GS Group represents GS Group's proportionate interest in the shares of the Issuer owned by the 1999 Exchange Fund. 05: These options were granted under the Western Wireless Corporation 1994 Management Incentive Stock Option Plan to the Reporting Person, in his capacity as a director of the Issuer, in replacement of vested options which were cancelled in connection with the May 3, 1999 spin-off by Western Wireless Corporation of all shares of Common Stock of VoiceStream Wireless Corporation owned by it to the holders of its Class A Common Stock and Class B Common Stock (the "Spin-off"). The Reporting Person has an understanding with GS Group pursuant to which he holds the stock options for the benefit of GS Group. 06: These options were granted under the Western Wireless Corporation 1994 Management Incentive Stock Option Plan to the Reporting Person, in his capacity as a director of the Issuer, in replacement of unvested options which were cancelled in connection with the Spin-off. The Reporting Person has an understanding with GS Group pursuant to which he holds the stock options for the benefit of GS Group. They become exercisable in 33% increments in 3 annual installments, beginning January 1, 2000. By: s/ Roger S. Begelman December 10, 1999 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date Attorney-in-fact ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. 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 provided is insufficient, see Instruction 6 for procedures. Alternatively, this Form is permitted to be submitted to the Commission in electronic format at the option of the reporting person pursuant to Rule 101(b)(4) of Regulation S-T. -----END PRIVACY-ENHANCED MESSAGE-----