-----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, QL/igACjUs9FeM8CBfzMSDbtbAgC0pnGev9r/bPcOUo1n85cpPiAV7ZXZz4AYBmv Tzy6UtcXTOXAyfoK4YLiVA== 0001019801-99-000006.txt : 19990510 0001019801-99-000006.hdr.sgml : 19990510 ACCESSION NUMBER: 0001019801-99-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990401 FILED AS OF DATE: 19990507 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: SEC FILE NUMBER: 001-10499 FILM NUMBER: 99613345 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: DIETRICH ALAN D CENTRAL INDEX KEY: 0001019801 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER 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 4 1 FORM 4 - 04/99 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person DIETRICH, ALAN D 125 S DAKOTA AVE SUITE 1100 SIOUX FALLS, SD 57104 USA 2. Issuer Name and Ticker or Trading Symbol NORTHWESTERN CORPORATION NOR 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year 04/99 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) VICE PRESIDENT LEGAL ADMINISTRATION & CORPORATE SECRETARY 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 | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| COMMON STOCK |04/01/|P | |39 |A |25.598 |3424 |D | | |99 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |* |B | |41 |A |# |6015 |D |401(K) & S401(K) | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| INCENTIVE STOCK OPTION|26.125 |4-22-|A |V|10,910 |A |(1) |4-22-|COMMON STOCK|10,910 | |10,910 |D | | S | |99 | | | | | |2009 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) THE OPTION BECOMES EXERCISIBLE IN 3 EQUAL INSTALLMENTS BEGINNING 3 YEARS AFTER DATE OF ISSUE. * PURCHASE DATES OF 4/11/99 AND 4/26/99 # PURCHASE PRICE OF $26.25 ALL SHARE TRANSACTIONS AND TOTALS HAVE BEEN ROUNDED TO WHOLE SHARES. SIGNATURE OF REPORTING PERSON /S/ ALAN D DIETRICH DATE 05-03-99 -----END PRIVACY-ENHANCED MESSAGE-----