-----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, P6r+AvpT9esxSoyhGMWlPDln+ERlRugAw4NtWBHboPR0xrcyDVfqmPALhSXiwOoa 2EXcvuw6+/5REjUNG7lGOg== 0000912057-01-005187.txt : 20010223 0000912057-01-005187.hdr.sgml : 20010223 ACCESSION NUMBER: 0000912057-01-005187 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001231 FILED AS OF DATE: 20010214 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: 1538763 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: BRADLEY WALTER A III CENTRAL INDEX KEY: 0001063364 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 33 THIRD ST SE STREET 2: POST OFFICE BOX 1318 CITY: HURON STATE: SD ZIP: 57350 MAIL ADDRESS: STREET 1: 33 THIRD ST SE CITY: HURON STATE: SD ZIP: 57350 5 1 a2038098z5.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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OMB Number:  3235-0362
Expires: October 31, 2001
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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)
  BRADLEY   WALTER   A.     NORTHWESTERN CORPORATION  NOR            Director        10% Owner

 
         
  (Last)   (First)   (Middle)   3. I.R.S Identification Number of Reporting Person, if an entity (voluntary)   4. Statement for Month/Year      X  Officer
    (give title below)
       Other
    (specify below)
  125 S. DAKOTA AVENUE         DECEMBER 2000     VICE PRESIDENT & CHIEF INFORMATION OFFICER

 
 
   
(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
  SIOUX FALLS   SD   57104                 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         55   A   #     1127     D      

  COMMON STOCK     (1)     R         13   A   #     312     D      

  COMMON STOCK (BROKER)                                   2130     D      

  COMMON STOCK     +     B                       493     D      

                                                   

                                                   

                                                   

                                                   

                                                   

* 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










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                            









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
(1)   SHARES ACQUIRED THRU TEAM MEMBER FROM 3-1-00 TO 12-1-00
+   SHARES ACQUIRED THRU ESOP FROM 3-1-00 THRU 12-1-00
    /s/ Walter A. Bradley   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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