-----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, WJ7jk5+VN5B9ABhbZRxqDPwFguRg/dp9amz5gaFCGDDqplwPeqDIdNBunxjew+sh kjeOGtmz9lsHmOglUNnGUg== 0000895813-98-000023.txt : 19980113 0000895813-98-000023.hdr.sgml : 19980113 ACCESSION NUMBER: 0000895813-98-000023 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971231 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: 4 SEC ACT: SEC FILE NUMBER: 000-20763 FILM NUMBER: 98504686 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: SPARKS MARY LEE CENTRAL INDEX KEY: 0001047185 STANDARD INDUSTRIAL CLASSIFICATION: [] OTHER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 2438 CAMPBELL ROAD NW CITY: ALBUGUERGUE STATE: NM ZIP: 87104 BUSINESS PHONE: 2172354410 4 1 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: Mary Lee Sparks 2438 Campbell Road, N.W. Albuquerque, New Mexico 87104 U.S.A. 2. Issuer Name and Ticker or Trading Symbol: McLeodUSA Incorporated MCLD 3. IRS or Social Security Number of Reporting Person (Voluntary): 4. Statement for Month/Year: December 1997 5. If Amendment, Date of Original (Month/Year): 6. Relationship of Reporting Person(s) to Issuer (Check all applicable): ( ) Director ( ) 10% Owner ( ) Officer (give title below) (x) Other (specify below) Member of 13(d) group owning more than 10% 7. Individual or Joint/Group Filing (Check Applicable Line): ( ) Form filed by One Reporting Person (x) Form filed by More than One Reporting Person
Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 5. Amount of Amount of Securities 6. 2. Beneficially Ownership 7. 1. Transac- 3. 4. Owned at Form: Nature of Title of tion Date Transac- Securities Acquired (A) or End of Month Direct (D) Beneficial Security (Month/ tion Code Disposed of (D) (Instr. 3 or Indirect (I) Ownership (Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4) Code V Amount (A)or(D) Price Class A 12/31/97 J* 89,438 (1) D I By Mary Lee Sparks Common 1993 Grantor Re- Stock tained Annuity Trust 12/31/97 J* 22,360 (2) A 22,360 (2) D 12/31/97 J* 22,360 (3) A 22,360 (3) D 12/31/97 J* 22,359 (4) A 22,359 (4) D 12/31/97 J* 22,359 (5) A 22,359 (5) D 196,678 D 332,209 (4) I By Trust Agreement dated May 13, 1978 f/b/o Mary Lee Sparks 154,674 I By Mary Lee Sparks 1990 Personal Income Trust for the Bene- fit of Anne Romayne Sparks dated April 20, 1990 154,674 I By Mary Lee Sparks 1990 Personal Income Trust for the Bene- fit of Barbara Lee Sparks dated April 20, 1990 154,674 I By Mary Lee Sparks 1990 Personal Income Trust for the Bene- fit of Christina Louise Sparks dated April 20, 1990 154,674 I By Mary Lee Sparks 1990 Personal Income Trust for the Bene- fit of John Woodruff Sparks dated April 20, 1990
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. Title Conver- Trans- Trans- Number of Date Exercis- Title and Price of Number of Ownership Nature of sion of action Date Deriva- able and Amount of Deriva- Deriva- Form of of Deriva- Exercise Date Code tive Se Expiration Underlying tive tive Deriva- Indirect tive Deriva- (Month/ (Instr. curities Date Securities Security Secur- tive Bene- (Instr.3) Security Year) 8) Acquired) (Month (Instr. (Instr. ity Security: ficial (A) or Day/Year) 3 and 4) 5) (Instr. Direct Owner- Disposed 4) (D) or Ship of (D) Indirect (Instr (Instr. (I) 4) 3, 4 and 5) Instr. 4) Code V (A) (D) Date Expir- Title Amount or Exer- ation Number of cisable Date Shares
Explanation of Responses: *Explanation of Transaction Code J - Other Acquisition or Disposition: Pursuant to the terms of the Mary Lee Sparks 1993 Grantor Retained Annuity Trust, on December 31, 1997, the Trust terminated and the securities held in the Trust are being distributed directly to the beneficiaries, who are identified in the footnotes to Table I. Explanation of footnotes to Table I: 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 notes, the securities shown in Table I are beneficially owned for purposes of Rule 16a-1(a)(2) by Mary Lee Sparks and not by any of the other joint filers. (1) Beneficially owned for purposes of Rule 16a-1(a)(2) by all of the joint filers other than Mary Lee Sparks. (2) Beneficially owned for purposes of Rule 16a-1(a)(2) by John W. Sparks. (3) Beneficially owned for purposes of Rule 16a-1(a)(2) by Barbara L. Federico. (4) Beneficially owned for purposes of Rule 16a-1(a)(2) by Christina L. Duncan. (5) Beneficially owned for purposes of Rule 16a-1(a)(2) by Anne R. Whitten. SIGNATURE OF REPORTING PERSON: Mary Lee Sparks JOINT FILER INFORMATION Name: Anne R. Whitten Address: 38 Goodhue Road, Windham, New Hampshire 03087 Designated Filer: Mary Lee Sparks Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD Statement for Month/Year: December 1997 Date of Event Requiring Statement: September 24, 1997 Signature: Anne R. Whitten JOINT FILER INFORMATION Name: Barbara L. Federico Address: 4840 Ashville Bay Road, Ashville, New York 14710 Designated Filer: Mary Lee Sparks Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD Statement for Month/Year: December 1997 Signature: Barbara L. Federico JOINT FILER INFORMATION Name: Christina L. Duncan Address: 194 North Bald Hill Road, New Canaan, Connecticut 06840 Designated Filer: Mary Lee Sparks Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD Statement for Month/Year: December 1997 Signature: Christina L. Duncan JOINT FILER INFORMATION Name: John W. Sparks Address: 229 Saavedra, S.W., Albuquerque, New Mexico 87105 Designated Filer: Mary Lee Sparks Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD Statement for Month/Year: December 1997 Signature: John W. Sparks DATE: January 9, 1998 -----END PRIVACY-ENHANCED MESSAGE-----