-----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, AnZFf7u9QX+bAWkmAPK033YslgWHBVwjGMEw2PttfM+SnbJC7GKXc5LJMdP/gZkX DNQvypL2iwy8eVmw5TxlPQ== 0000912057-02-000563.txt : 20020413 0000912057-02-000563.hdr.sgml : 20020413 ACCESSION NUMBER: 0000912057-02-000563 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020108 COMPANY DATA: COMPANY CONFORMED NAME: LEWIS MERLE D CENTRAL INDEX KEY: 0001019810 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 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 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10499 FILM NUMBER: 2503749 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 4 1 a2067330z4.htm 4 Prepared by MERRILL CORPORATION

    FORM 4

/ / Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

(Print or Type Responses)
  UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

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)
    LEWIS   MERLE   D       NORTHWESTERN CORPORATION (NOR)        X  Director       10% Owner

 
           
    (Last)   (First)   (Middle)   3.   I.R.S. Identification Number of Reporting Person (voluntary)   4.   Statement for Month/Year        X  Officer
    (give title below)
       Other
    (specify below)
    125 S. DAKOTA AVE.               DECEMBER 2001       CHAIRMAN & CHIEF EXECUTIVE OFFICER

 
 
     
(Street)           5.   If Amendment, Date of Original (Month/Year)   7.   Individual or Joint/Group Filing
(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   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 End of Month   6.   Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
  7.   Nature of Indirect Beneficial Ownership
(Instr. 4)
            (Month/ Day/ Year)  
      (Instr. 3 and 4)                
                    Code   V       Amount   (A) or (D)   Price                        

    COMMON STOCK (1)       12/1/01       P           8   A   $20.5270       506       D        

    COMMON STOCK       12/1/01       P           362   A   $20.5270               D        

    COMMON STOCK       12/1/01       P           287   A   $20.5270       16,527       D        

    COMMON STOCK       (2)       G           2295   D           16,527       D        

    COMMON STOCK       (3)       B           54   A   $21.0500       28,986       D       401(K)

    COMMON STOCK       12/14/01       R           102   A   $20.6000       2,109       I       SPOUSE IRA

    COMMON STOCK (10)       12/1/01       P           362   A   $20.5270       23,758       D        

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.   (Over)
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).   SEC 1474 (7-97)

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 4 (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)
                       
 
                            Code   V       (A)   (D)       Date
Exercisable
  Expiration Date

UNITS (4)       1-FOR-1       (5)       A   V       (6)           N/A   N/A

PHANTOM STOCK UNITS       1-FOR-1       12/1/01       A           243           (8)   (8)

PHANTOM STOCK UNITS       1-FOR-1       12/1/01       A           364           (9)   (9)

                                                         

                                                         

                                                         

                                                         

                                                         

                                                         

                                                         

                                                         


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 Month
(Instr. 4)
  10.   Ownership Form of Derivative Securities Beneficially Owned at End of Month (Instr. 4)   11.   Nature of Indirect Beneficial Ownership
(Instr. 4)
   
                               
    Title   Amount or Number of Shares                                

    COMMON STOCK   1-FOR-1       $21.0500       61,788       I       (7)

    COMMON STOCK   243       $20.4000       15,853       D        

    COMMON STOCK   364       $20.4000       23,760       D        

                                         

                                         

                                         

                                         

                                         

                                         

                                         

                                         

Explanation of Responses:

ALL SHARE TRANSACTIONS AND TOTALS HAVE BEEN ROUNDED TO WHOLE SHARE.

(1)
SHARES PURCHASED PURSUANT TO THE NORTHWESTERN CORP. TEAM MEMBER STOCK PURCHASE PLAN AT THE APPLICABLE DISCOUNT.

(2)
TRANSFER DATES OF 12/19/01, 12/21/01 AND 12/31/01.

(3)
PURCHASE DATES OF 12/10/01 AND 12/21/01.

(4)
EACH UNIT CORRELATES TO ONE SHARE OF THE ISSUER'S COMMON STOCK AND IS HELD IN A SUPPLEMENT VARIABLE INVESTMENT PLAN ("SVIP") SPONSORED BY THE ISSUER.

(5)
PURCHASE DATES OF 12/10/01 AND 12/24/01.

(6)
BETWEEN 12/1/01 AND 12/31/01, THE REPORTING PERSON ACQUIRED 355 UNITS UNDER THE SVIP. INFORMATION IS BASED SOLELY ON A PLAN STATEMENT DATED 12/31/01.

(7)
HELD BY WELLS FARGO TRUST CORPORATION AS TRUSTEE OF THE SVIP.

(8)
PHANTOM STOCK UNITS MATURE 5 YEARS FROM DATE OF AWARD.

(9)
PHANTOM STOCK UNITS WERE ACCRUED UNDER THE NORTHWESTERN STOCK OPTION AND INCENTIVE PLAN AND ARE TO BE PAID 50% IN CASH AND 50% IN COMMON STOCK OF NORTHWESTERN ON THE THIRD ANNIVERSARY OF GRANT, AS EARNED THROUGH ACHIEVEMENT OF PERFORMANCE CRITERIA.

(10)
RESTRICTED STOCK AWARD VESTS ON THE FOURTH ANNIVERSARY OF GRANT.
    /s/ MERLE LEWIS   1/8/2002
**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 is insufficient, see Instruction 6 for procedure.        
         
        Page 2
SEC 1474 (7-97)


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