-----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, Lao1QNDOkozlITJLQ+8FWPsqO3H8rglITIaoGGEA10wAOlLkhEum1J1b4EJ5i1nq Otd2rtFnYMMcfG0TEFkAYQ== 0000912057-01-005100.txt : 20010214 0000912057-01-005100.hdr.sgml : 20010214 ACCESSION NUMBER: 0000912057-01-005100 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001231 FILED AS OF DATE: 20010213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTHWESTERN CORP CENTRAL INDEX KEY: 0000073088 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] IRS NUMBER: 460172280 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 001-10499 FILM NUMBER: 1538179 BUSINESS ADDRESS: STREET 1: 125 S DAKOTA AVENUE STREET 2: SUITE 1100 CITY: SIOUX STATE: SD ZIP: 57104 BUSINESS PHONE: 6059782908 MAIL ADDRESS: STREET 1: 125 S DAKOTA AVENUE STREET 2: SUITE 1100 CITY: SIOUX STATE: SD ZIP: 57104 FORMER COMPANY: FORMER CONFORMED NAME: NORTHWESTERN PUBLIC SERVICE CO DATE OF NAME CHANGE: 19920703 COMPANY DATA: COMPANY CONFORMED NAME: NESS LARRY F CENTRAL INDEX KEY: 0001019813 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 600 MARKET STREET WEST STREET 2: PO BOX 1318 CITY: HURON STATE: SD ZIP: 57350 MAIL ADDRESS: STREET 1: 600 MARKET ST STREET 2: PO BOX 1318 CITY: HURON STATE: SD ZIP: 57350 5 1 a2038120z5.htm FORM 5 Prepared by MERRILL CORPORATION www.edgaradvantage.com

    FORM 5

/ / Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
/ / Form 3 Holdings Reported
/ / Form 4 Transactions Reported
  UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL 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
 
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1. Name and Address of Reporting Person*   2. Issuer Name and Ticker or Trading Symbol   6. Relationship of Reporting Person(s) to Issuer (Check all applicable)
  NESS   LARRY   F.     NORTHWESTERN CORPORATION  NOR        X  Director        10% Owner

 
         
  (Last)   (First)   (Middle)   3. I.R.S Identification Number of Reporting Person, if an entity (voluntary)   4. Statement for Month/Year          Officer
    (give title below)
       Other
    (specify below)
  33 THIRD STREET SE         DECEMBER 2000      

 
 
   
(Street)         5. If Amendment, Date of Original (Month/Year)   7. Individual or Joint/Group Reporting
(check applicable line)
 X  Form filed by One Reporting Person
     Form filed by More than
  HURON   SD   57350                 One Reporting Person

  (City)   (State)   (Zip)                      
              Table I — Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security
(Instr. 3)
  2. Transaction Date
(Month/ Day/ Year)
  3. Transaction Code
(Instr. 8)
  4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
  5. Amount of Securities Beneficially Owned at the end of Issuer's Fiscal Year   6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
  7. Nature of Indirect Beneficial Ownership
(Instr. 4)
                 
    (Instr. 3 and 4)            
                        Amount   (A) or (D)   Price                  

  COMMON STOCK     *     R         394   A   #     8386     D      

  COMMON STOCK                                   756     I     IRA

                                                   

                                                   

                                                   

                                                   

                                                   

                                                   

                                                   

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).   (Over)
    SEC 2270 (3/99)

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.


FORM 5 (Continued)   Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned
(
e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security
(Instr. 3)
  2. Conversion or Exercise Price of Derivative Security   3. Transaction Date
(Month/Day/Year)
  4. Transaction Code
(Instr. 8)
  5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
  6. Date Exercisable and Expiration Date (Month/Day/Year)
                         
   
                            (A)   (D)     Date Exercisable   Expiration Date

PHANTOM STOCK UNITS         3-1-00   A       18             %

PHANTOM STOCK UNITS         6-1-00   A       11             %

PHANTOM STOCK UNITS         9-1-00   A       12             %

PHANTOM STOCK UNITS         12-1-00   A       13             %






7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
  8. Price of Derivative Security
(Instr. 5)
  9. Number of Derivative Securities Beneficially Owned at End of Year
(Instr. 4)
  10.   Ownership of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
  11.   Nature of Indirect Beneficial Ownership
(Instr. 4)
 
                           
  Title   Amount or Number of Shares                            

COMMON STOCK   18   22.3750   975       D    

COMMON STOCK   11   23.1875   975       D    

COMMON STOCK   12   21.5000   975       D    

COMMON STOCK   13   22.5000   975       D    





Explanation of Responses:

ALL SHARE TRANSACTIONS AND TOTALS HAVE BEEN ROUNDED TO WHOLE SHARES

*   SHARES ACQUIRED THRU DIVIDEND REINVESTMENT PLAN FROM 3-1-00 TO 12-1-00
#   PRICES RANGE FROM $21.7090 TO $23.3510
%   PHANTOM STOCK UNITS MATURE 5 YEARS FROM DATE OF AWARD
    /s/ Larry F. Ness   2/12/2001
**Intentional misstatements or omissions of facts constitute Federal 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.        
         
        Page 2
SEC 2270 (7-97)


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