-----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, WHzXGZSsn2fD5J0RGiB/FzYIffVmo6raz2cBRP4V5YAEtPNYFd4TNaG8qfqTNYy/ A6pjIHnPC5vz5UwFnxPh3Q== 0000895813-00-000024.txt : 20000209 0000895813-00-000024.hdr.sgml : 20000209 ACCESSION NUMBER: 0000895813-00-000024 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000131 FILED AS OF DATE: 20000208 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: 527706 BUSINESS ADDRESS: STREET 1: 6400 C ST SW STREET 2: PO BOX 3177 CITY: CEDAR RAPIDS STATE: IA ZIP: 52406-3177 BUSINESS PHONE: 3193640000 MAIL ADDRESS: STREET 1: 6400 C ST SW STREET 2: PO BOX 3177 CITY: CEDAR RAPIDS STATE: IA ZIP: 52406-3177 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: January 2000 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 6. Securities Owner- 7. 2. Beneficially ship Form: Nature of 1. Transaction 3. 4. Owned at End Direct (D) Indirect Title of Date Transaction Securities Acquired (A) or of Month or Indirect Beneficial Security (Month/ Code Disposed of (D) (Instr. 3 (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 01/03/00 M 1,588 A $14.175 D (1) Common Stock 01/14/00 S 1,000 D $80.00 D (1) 01/24/00 M 500 A $12.25 D (1) 01/24/00 S 500 D $82.06 6,600 D (1) 131,832 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of John Woodruff Sparks dated April 20, 1990 131,832 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Anne Romayne Sparks dated April 20, 1990 131,832 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Barbara Lee Sparks dated April 20, 1990 5. Amount of 6. Securities Owner- 7. 2. Beneficially ship Form: Nature of 1. Transaction 3. 4. Owned at End Direct (D) Indirect Title of Date Transaction Securities Acquired (A) or of Month or Indirect Beneficial Security (Month/ Code Disposed of (D) (Instr. 3 (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 ---- --- ------ -------- ----- 131,832 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Christina Louise Sparks dated April 20, 1990 393,356 D 664,418 I By Trust Agreement dated May 13, 1978 f/b/o Mary Lee Sparks
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
10. 9. Owner- Number ship of Form of 5. Deriva- Deriva- 11. Number tive tive Nature of Deriv- Securi- Securi- of 1. ative Se- ties ty: Indi- Title 2. 3. curities 8. Benefi- Direct rect of Conversion Trans- Acquired 6. 7. Price of cially (D) Bene- Deriva- or action 4. Trans- (A) or Date Exer- Title and Deriva- Owned at or ficial tive Exercise Date action Disposed cisable and Amount of tive End of Indirect Owner- Security Price of (Month/ Code of (D) Expiration Underlying Security Month (I) ship (Instr. Derivative Day/ (Instr. (Instr. 3, Date Securities (Instr. (Instr. (Instr. (Instr. 3) Security Year) 8) 4 and 5) (Month/Day/Year) (Instr. 3 and 4) 5) 4) 4) 4) -------- ---------- ------- --------- ---------- ---------------- ---------------- -------- ------- -------- ------ Amount or Date Expir- Number Exer- ation of Code V A D cisable Date Title Shares ---- --- --- --- ------- ------ ----- ------ Employee $12.25 01/24/00 M 500 (1) 09/24/07 Class A 34,000 D Stock Common Option Stock (right to buy) (1) Employee $12.125 Class A 7,500 D Stock Common Option Stock (right to buy) (2) 7,500 D Employee $14.875 Class A Stock Common Option Stock (right to buy) (3)
Explanation of Responses: 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 the other joint filer. (1) Beneficially owned for purposes of Rule 16a-1(a)(2) by Steven L. Grissom. These shares are not subject to Mr. Grissom's agreement with the other members of the 13(d) group referred to in Item 6 of the cover page of this Form 4. Explanation of footnotes to Table II: The derivative securities shown in Table II are beneficially owned for purposes of Rule 16a-1(a)(2) by Steven L. Grissom. (1) The employee stock option dated 9/24/97 vests in four equal annual installments which began on September 24, 1998. (2) The employee stock option dated 12/22/97 vests in four equal annual installments which began on October 12, 1999. (3) The employee stock option dated 12/31/98 vests in four equal annual installments beginning on December 31, 1999. SIGNATURE OF REPORTING PERSON: Mary Lee Sparks Individually and as trustee of the Mary Lee Sparks Trust, dated May 13, 1978 By: Steven L. Grissom Attorney in Fact Dated: February 8, 2000 JOINT FILER INFORMATION Name: Steven L. Grissom Address: 121 South 17th Street, Mattoon, Illinois 61938 Designated Filer: Mary Lee Sparks Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD Statement for Month/Year: January, 2000 Signature: Steven L. Grissom -----END PRIVACY-ENHANCED MESSAGE-----