-----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, LOiKBI1XQ6Xhb4iu7rjMG+vcGsH97SVygFNe7FcamS/JwHx6Ygb7kIqbKeFlaYod l8K6BtJwY2u/0YRHFRyJMA== 0000895813-00-000068.txt : 20000313 0000895813-00-000068.hdr.sgml : 20000313 ACCESSION NUMBER: 0000895813-00-000068 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000229 FILED AS OF DATE: 20000310 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: 566107 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: KEON MARGARET LUMPKIN CENTRAL INDEX KEY: 0000924869 STANDARD INDUSTRIAL CLASSIFICATION: [] OTHER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 16 MILLER AVE STREET 2: STE 203 CITY: MILL VALLEY STATE: CA ZIP: 94941 BUSINESS PHONE: 4153815366 MAIL ADDRESS: STREET 1: 121 SOUTH 17TH STREET CITY: MATTOON STATE: IL ZIP: 61938 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: Margaret L. Keon c/o Keon Associates 16 Miller Avenue, Suite 203 Mill Valley, California 94941 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: February 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): (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
5. Amount of Securities 6. Owner- 2. Trans- Beneficially ship Form: 7. Nature 1. Title action 4. Securities Owned at End Direct (D) or of Indirect of Date 3. Trans- Acquired (A) or of Month Indirect Beneficial Security (Month / action 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 02/01/00 S 1,430 D $70.09 I By Margaret L. Keon Common Stock 1990 Personal Income Trust for the Benefit of Susan Tamara Keon DeWyngaert dated April 20, 1990 02/02/00 S 1,275 D 70.05 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Susan Tamara Keon DeWyngaert dated April 20, 1990 02/03/00 S 1,130 D 70.04 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Susan Tamara Keon DeWyngaert dated April 20, 1990 02/04/00 S 1,880 D 71.38 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Susan Tamara Keon DeWyngaert dated April 20, 1990 02/07/00 S 1,690 D 70.11 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Susan Tamara Keon DeWyngaert dated April 20, 1990 02/14/00 S 1,970 D 70.90 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Susan Tamara Keon DeWyngaert dated April 20, 1990 5. Amount of Securities 6. Owner- 2. Trans- Beneficially ship Form: 7. Nature 1. Title action 4. Securities Owned at End Direct (D) or of Indirect of Date 3. Trans- Acquired (A) or of Month Indirect Beneficial Security (Month / action 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 02/16/00 S 5,450 D $77.91 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Susan Tamara Keon DeWyngaert dated April 20, 1990 02/17/00 S 4,550 D 79.74 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Susan Tamara Keon DeWyngaert dated April 20, 1990 02/18/00 S 4,562 D 83.98 0 (1) I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Susan Tamara Keon DeWyngaert dated April 20, 1990 02/01/00 S 1,430 D 70.09 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Joseph John Keon III dated April 20, 1990 02/02/00 S 1,275 D 70.05 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Joseph John Keon III dated April 20, 1990 02/03/00 S 1,130 D 70.04 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Joseph John Keon III dated April 20, 1990 5. Amount of Securities 6. Owner- 2. Trans- Beneficially ship Form: 7. Nature 1. Title action 4. Securities Owned at End Direct (D) or of Indirect of Date 3. Trans- Acquired (A) or of Month Indirect Beneficial Security (Month / action 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 02/04/00 S 1,880 D $71.38 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Joseph John Keon III dated April 20, 1990 02/07/00 S 1,690 D 70.11 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Joseph John Keon III dated April 20, 1990 02/14/00 S 1,970 D 70.90 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Joseph John Keon III dated April 20, 1990 02/16/00 S 5,450 D 77.91 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Joseph John Keon III dated April 20, 1990 02/17/00 S 4,550 D 79.74 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Joseph John Keon III dated April 20, 1990 02/18/00 S 4,562 D 83.98 0 (1) I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Joseph John Keon III dated April 20, 1990 5. Amount of Securities 6. Owner- 2. Trans- Beneficially ship Form: 7. Nature 1. Title action 4. Securities Owned at End Direct (D) or of Indirect of Date 3. Trans- Acquired (A) or of Month Indirect Beneficial Security (Month / action 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 02/01/00 S 1,430 D $70.09 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Katherine Stoddert Keon dated April 20, 1990 02/02/00 S 1,275 D 70.05 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Katherine Stoddert Keon dated April 20, 1990 02/03/00 S 1,130 D 70.04 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Katherine Stoddert Keon dated April 20, 1990 02/04/00 S 1,880 D 71.38 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Katherine Stoddert Keon dated April 20, 1990 02/07/00 S 1,690 D 70.11 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Katherine Stoddert Keon dated April 20, 1990 02/14/00 S 1,970 D 70.90 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Katherine Stoddert Keon dated April 20, 1990 5. Amount of Securities 6. Owner- 2. Trans- Beneficially ship Form: 7. Nature 1. Title action 4. Securities Owned at End Direct (D) or of Indirect of Date 3. Trans- Acquired (A) or of Month Indirect Beneficial Security (Month / action 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 02/16/00 S 5,450 D $77.91 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Katherine Stoddert Keon dated April 20, 1990 02/17/00 S 4,550 D 79.74 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Katherine Stoddert Keon dated April 20, 1990 02/18/00 S 4,562 D 83.98 0 (1) I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Katherine Stoddert Keon dated April 20, 1990 02/01/00 S 1,430 D 70.09 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Lisa Anne Keon dated April 20, 1990 02/02/00 S 1,275 D 70.05 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Lisa Anne Keon dated April 20, 1990 02/03/00 S 1,130 D 70.04 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Lisa Anne Keon dated April 20, 1990 02/04/00 S 1,880 D 71.38 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Lisa Anne Keon dated April 20, 1990 5. Amount of Securities 6. Owner- 2. Trans- Beneficially ship Form: 7. Nature 1. Title action 4. Securities Owned at End Direct (D) or of Indirect of Date 3. Trans- Acquired (A) or of Month Indirect Beneficial Security (Month / action 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 02/07/00 S 1,690 D $70.11 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Lisa Anne Keon dated April 20, 1990 02/14/00 S 1,970 D 70.90 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Lisa Anne Keon dated April 20, 1990 02/16/00 S 5,450 D 77.91 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Lisa Anne Keon dated April 20, 1990 02/17/00 S 4,550 D 79.74 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Lisa Anne Keon dated April 20, 1990 02/18/00 S 4,562 D 83.98 0 (1) I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Lisa Anne Keon dated April 20, 1990 02/01/00 S 1,430 D 70.09 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Margaret Lynley Keon dated April 20, 1990 02/02/00 S 1,275 D 70.05 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Margaret Lynley Keon dated April 20, 1990 5. Amount of Securities 6. Owner- 2. Trans- Beneficially ship Form: 7. Nature 1. Title action 4. Securities Owned at End Direct (D) or of Indirect of Date 3. Trans- Acquired (A) or of Month Indirect Beneficial Security (Month / action 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 02/03/00 S 1,130 D $70.04 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Margaret Lynley Keon dated April 20, 1990 02/04/00 S 1,880 D 71.38 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Margaret Lynley Keon dated April 20, 1990 02/07/00 S 1,690 D 70.11 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Margaret Lynley Keon dated April 20, 1990 02/14/00 S 1,970 D 70.90 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Margaret Lynley Keon dated April 20, 1990 02/16/00 S 5,450 D 77.91 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Margaret Lynley Keon dated April 20, 1990 02/17/00 S 4,550 D 79.74 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Margaret Lynley Keon dated April 20, 1990 5. Amount of Securities 6. Owner- 2. Trans- Beneficially ship Form: 7. Nature 1. Title action 4. Securities Owned at End Direct (D) or of Indirect of Date 3. Trans- Acquired (A) or of Month Indirect Beneficial Security (Month / action 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 02/18/00 S 4,562 D $83.98 0 (1) I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Margaret Lynley Keon dated April 20, 1990 02/01/00 S 1,430 D 70.09 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Pamela Keon Vitale dated April 20, 1990 02/02/00 S 1,275 D 70.05 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Pamela Keon Vitale dated April 20, 1990 02/03/00 S 1,130 D 70.04 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Pamela Keon Vitale dated April 20, 1990 02/04/00 S 1,880 D 71.38 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Pamela Keon Vitale dated April 20, 1990 02/07/00 S 1,690 D 70.11 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Pamela Keon Vitale dated April 20, 1990 02/14/00 S 1,970 D 70.90 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Pamela Keon Vitale dated April 20, 1990 5. Amount of Securities 6. Owner- 2. Trans- Beneficially ship Form: 7. Nature 1. Title action 4. Securities Owned at End Direct (D) or of Indirect of Date 3. Trans- Acquired (A) or of Month Indirect Beneficial Security (Month / action 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 02/16/00 S 5,450 D $77.91 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Pamela Keon Vitale dated April 20, 1990 02/17/00 S 4,550 D 79.74 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Pamela Keon Vitale dated April 20, 1990 02/18/00 S 4,562 D 83.98 0 (1) I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Pamela Keon Vitale dated April 20, 1990 02/18/00 S 10,000 D 87.13 I By Margaret Lumpkin Keon Trust dated May 13, 1978 02/23/00 S 7,500 D 86.00 I By Margaret Lumpkin Keon Trust dated May 13, 1978 02/24/00 S 20,000 D 86.85 I By Margaret Lumpkin Keon Trust dated May 13, 1978 02/25/00 S 20,000 D 89.23 I By Margaret Lumpkin Keon Trust dated May 13, 1978 02/28/00 S 25,000 D 89.41 I By Margaret Lumpkin Keon Trust dated May 13, 1978 02/29/00 S 5,000 D 89.00 924,222 I By Margaret Lumpkin Keon Trust dated May 13, 1978
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
9. 5. Number 10. Number of of Owner- Deriv- Deriv- ship 11. ative ative Form of Nature 1. Securi- 8. Secur- Deriva- of Title 2. ties Price ties tive Indir- of Conver- 3. Acquired of Benefi- Security: ect Deriv- sion or Trans- 4. (A) or Deriv- cially Direct Benefi- ative Exercise action Trans- Disposed 7. Title and ative Owned at (D) or cial Secur- Price of Date action of (D) 6. Date Amount of Secur- End of Indirect Owner- ity Deriva- (Month/ Code (Instr. Exercisable and Underlying ity Month (I) ship (Instr. tive Day/ (Instr. 3, 4 and Expiration Date Securities (Instr. (Instr. (Instr. (Instr. 3) Security Year) 8) 5) (Month/Day/Year) (Instr. 3 and 4) 5) 4) 4) 4) ------- -------- ------- ------- -------- ---------------- ---------------- ------- ------- -------- ------- Code V (A) (D) Date Expir- Title Amount or Exer- ation Number of cisable Date Shares
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 Margaret L. Keon and not by the other joint filer. (1) Effective February 6, 2000, Margaret L. Keon was delegated investment and voting power for shares held by this trust. SIGNATURE OF REPORTING PERSON(S): Margaret L. Keon Individually and as trustee of the Margaret Lumpkin Keon Trust By: Steven L. Grissom Attorney in Fact Dated: March __, 2000 JOINT FILER INFORMATION Name: Steven L. Grissom Address: 121 South 17th Street, Mattoon, Illinois 61938 Designated Filer: Margaret L. Keon Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD Statement for Month/Year: February 2000 Signature: Steven L. Grissom As trustee of the Personal Income Trusts -----END PRIVACY-ENHANCED MESSAGE-----