-----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, MiGMZnyk/6pZysQCqz53Z1sUwhYImrMyU69s+aNc0uAvrDBOtft/lulfbl1730Vn oGV7TWwUCHq7NHBN1cSwDw== 0000895813-98-000016.txt : 19980113 0000895813-98-000016.hdr.sgml : 19980113 ACCESSION NUMBER: 0000895813-98-000016 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970924 FILED AS OF DATE: 19980112 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MCLEODUSA INC CENTRAL INDEX KEY: 0000919943 STANDARD INDUSTRIAL CLASSIFICATION: RADIO TELEPHONE COMMUNICATIONS [4812] IRS NUMBER: 421407240 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/A SEC ACT: SEC FILE NUMBER: 000-20763 FILM NUMBER: 98504627 BUSINESS ADDRESS: STREET 1: 6400 C ST SW STREET 2: PO BOX 3177 CITY: CEDAR RAPIDS STATE: IA ZIP: 52401-1522 BUSINESS PHONE: 3193640000 MAIL ADDRESS: STREET 1: TOWNE CENTRE STREET 2: 221 THIRD AVENUE SE SUITE 500 CITY: CEDAR RAPIDS STATE: IA ZIP: 52401-1522 FORMER COMPANY: FORMER CONFORMED NAME: MCLEOD INC DATE OF NAME CHANGE: 19960403 COMPANY DATA: COMPANY CONFORMED NAME: LUMPKIN RICHARD ANTHONY CENTRAL INDEX KEY: 0000925184 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 3/A BUSINESS ADDRESS: STREET 1: 121 SOUTH 17TH STREET CITY: MATTOON STATE: IL ZIP: 61938 MAIL ADDRESS: STREET 1: 121 SOUTH 17TH STREET CITY: MATTOON STATE: IL ZIP: 61938 3/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDED FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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 1. Name and Address of Reporting Person (Last) (First) (Middle) Lumpkin, Richard A. (Street) 121 South 17th Street (City) (State) (Zip) Mattoon, Illinois 61938 2. Date of Event Requiring Statement (Month/Day/Year) 09/24/97 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Issuer Name and Ticker or Trading Symbol McLeodUSA Incorporated MCLD 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner (X) Officer (give title below) (X) Other (specify below) Vice Chairman Member of 13(d) group owning more than 10% 6. If Amendment, Date of Original (Month/Day/Year) 10/6/97 (filing date) 7. Individual or Joint/Group Filing (Check Applicable Line) ( ) Form filed by One Reporting Person (X) Form filed by More than One Reporting Person 2 Table I -- Non-Derivative Securities Beneficially Owned
1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Beneficially Owned Direct (D) or Indirect Indirect (I) Beneficial Ownership Class A Common Stock 100,190 I By Trust Agreement dated May 13, 1978 f/b/o Richard Anthony Lumpkin 332,209 I By Trust Agreement dated May 13, 1978 f/b/o Mary Lee Sparks 55,088 I By Richard Adamson Lumpkin Grandchildren's Trust dated 9/5/80 f/b/o Benjamin Iverson Lumpkin 55,088 I By Richard Adamson Lumpkin Grandchildren's Trust dated 9/5/80 f/b/o Elizabeth Arabella Lumpkin 410,965 I By Trust named for Benjamin Iverson Lumpkin created under the Mary Green Lumpkin Gallo Trust Agreement dated December 29, 1989 410,965 I By Trust named for Elizabeth Arabella Lumpkin created under the Mary Green Lumpkin Gallo Trust Agreement dated December 29, 1989 210,937 I By Trust Agreement dated May 13, 1978 f/b/o Richard Anthony Lumpkin 96,656 (A) I By Richard Anthony Lumpkin 1993 Grantor Retained Annuity Trust 734,701 I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Benjamin Iverson Lumpkin dated April 20, 1990 3 1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Beneficially Owned Direct (D) or Indirect Indirect (I) Beneficial Ownership 734,701 I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Elizabeth Arabella Lumpkin dated April 20, 1990 1,822 I By Richard Anthony Lumpkin Trust under the Trust Agreement dated February 6, 1970 60,619 I By Margaret Anne Keon Trust under the Trust Agreement dated February 6, 1970 107,030 I By Mary Lee Sparks Trust under the Trust Agreement dated February 6, 1970
Table II -- Derivative Securities Beneficially Owned
2. Date 3. Title and 5. Ownership Exercisable Amount of Form of and Expiration Underlying Derivative Date (Month/ Securities Security: Day/Year) 1. Title Date Expira- Title Amount 4. Direct Indirect 6. Nature of Exer- tion or Conversion (D) (i) of Indirect Derivative cisable Date Number or Exercise Beneficial Security of Price of Ownership Shares Derivative Security
Explanation of Responses: For purposes of Section 13(d) of the Securities Exchange Act, each of the joint filers is a member of a group that together owns more than 10% of the Issuer's Class A Common Stock. Except as indicated in the following note, the securities shown in Table I are beneficially owned for purposes of Rule 16a-1(a)(2) by Richard A. Lumpkin and not by either of the other joint filers. 4 (A) Beneficially owned for purposes of Rule 16a-1(a)(2) by Benjamin I. Lumpkin and Elizabeth A. Lumpkin. SIGNATURE OF REPORTING PERSON(S): Richard A. Lumpkin JOINT FILER INFORMATION Name: Benjamin I. Lumpkin Address: Casilla 52908 Correo Central Santiage, Chile Designated Filer: Richard A. Lumpkin Issuer & Ticker Symbol: McLeodUSA Incorporated MCLD Date of Event Requiring Statement: September 24, 1997 Signature: Benjamin I. Lumpkin JOINT FILER INFORMATION Name: Elizabeth A. Lumpkin Address: 109 S. Humphrey Avenue, #3N Oak Park, Illinois 60302 Designated Filer: Richard A. Lumpkin Issuer & Ticker Symbol: McLeodUSA Incorporated MCLD Date of Event Requiring Statement: September 24, 1997 Signature: Elizabeth A. Lumpkin DATE: January 9, 1998 Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). -----END PRIVACY-ENHANCED MESSAGE-----