-----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, TeOjbOFP2+h2viAqUY0N33mkXsioCM2e0WezcayJqvwZllLK1yyJN7s0d1KJeBa4 XbzaYabjq9VXBTQBJbFl+A== 0001019819-00-000001.txt : 20000210 0001019819-00-000001.hdr.sgml : 20000210 ACCESSION NUMBER: 0001019819-00-000001 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991201 FILED AS OF DATE: 20000209 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: 527878 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: SMITH BRUCE I CENTRAL INDEX KEY: 0001019819 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 FORM 5 - 12/99 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). ( ) Form 3 Holdings Reported ( ) Form 4 Transactions Reported 1. Name and Address of Reporting Person SMITH, BRUCE I 33 THIRD ST SE P O BOX 1318 HURON, NE 57350 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 12/99 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 Reporting (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 | |Date |Code| | Beneficially |(D)or | | | | | | A/| | Owned at |Indir | | | | | Amount | D | Price | End of Year |ect(I)| | ___________________________________________________________________________________________________________________________________| COMMON STOCK |* |R |415 |A |# |10,148 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 |Date |Code| rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise Pr | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |ice 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 | | | Amount | |ble | | | |Year |(I)| | ___________________________________________________________________________________________________________________________________| INCENTIVE STOCK OPTIONS | | | | | | | |COMMON STOCK| | |5,100 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| PHANTOM STOCK UNITS | |3-1-9|A |20 |A | |% |COMMON STOCK|20 |24.1250|1435 |D | | | |9 | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| PHANTOM STOCK UNITS | |6-1-9|A |14 |A | |% |COMMON STOCK|14 |26.2500|1435 |D | | | |9 | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| PHANTOM STOCK UNITS | |9-1-9|A |15 |A | |% |COMMON STOCK|15 |24.8750|1435 |D | | | |9 | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| PHANTOM STOCK UNITS | |12-1-|A |18 |A | |% |COMMON STOCK|18 |21.5000|1435 |D | | | |99 | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: ALL SHARE TRANSACTIONS AND TOTALS HAVE BEEN ROUNDED TO WHOLE SHARES *SHARES ACQUIRED THRU DIVIDEND REINVESTMENT PLAN FROM 3-1-99 THRU 12-1-99 #PRICES RANGE FROM $22.038 TO $26.265 %PHANTOM STOCK UNITS MATURE 5 YEARS FROM DATE OF AWARD SIGNATURE OF REPORTING PERSON /S/ Bruce I. Smith DATE 1-31-2000 -----END PRIVACY-ENHANCED MESSAGE-----