-----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, Ski+2d7ZkHwzwlO5oSpXqzvanTFEw/jOUeiXmbNTVnh7qCBc3F6b2JyX/daOAn4V 0RThGW2S8YTMLOa9od+t2g== 0000895813-00-000069.txt : 20000313 0000895813-00-000069.hdr.sgml : 20000313 ACCESSION NUMBER: 0000895813-00-000069 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: 566109 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: LUMPKIN RICHARD ANTHONY CENTRAL INDEX KEY: 0000925184 STANDARD INDUSTRIAL CLASSIFICATION: [] OTHER FILING VALUES: FORM TYPE: 4 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 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: Richard A. Lumpkin 121 South 17th Street Mattoon, Illinois 61938 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): (x) Director ( ) 10% Owner (x) Officer (give title below) (x) Other (specify below) Vice Chairman 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. Owner- 2. Trans- Securities ship Form: 7. Nature 1. Title action 4. Securities Beneficially Direct (D) of Indirect of Date 3. Trans- Acquired (A) or Owned at End or Indirect Beneficial Security (Month / action Code Disposed of (D) of Month (I) Ownership (Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) Instr. 4) (Instr. 4) ---------- ---------- ---------- -------------------- ---------------- ----------- ----------- Code V Amount (A)or(D) Price Class A 02/01/00 S 3,330 D $70.14 I By Richard Anthony Common Stock Lumpkin 1990 Personal Income Trust for the Benefit of Elizabeth Arabella Lumpkin dated April 20, 1990 02/02/00 S 2,985 D 70.05 I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Elizabeth Arabella Lumpkin dated April 20, 1990 02/03/00 S 2,645 D 70.12 I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Elizabeth Arabella Lumpkin dated April 20, 1990 02/04/00 S 4,380 D 71.40 I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Elizabeth Arabella Lumpkin dated April 20, 1990 02/07/00 S 3,940 D 70.14 I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Elizabeth Arabella Lumpkin dated April 20, 1990 5. Amount of 6. Owner- 2. Trans- Securities ship Form: 7. Nature 1. Title action 4. Securities Beneficially Direct (D) of Indirect of Date 3. Trans- Acquired (A) or Owned at End or Indirect Beneficial Security (Month / action Code Disposed of (D) of Month (I) Ownership (Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) Instr. 4) (Instr. 4) ---------- ---------- ---------- -------------------- ---------------- ----------- ----------- Code V Amount (A)or(D) Price 02/11/00 S 267,500 D $66.62 I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Elizabeth Arabella Lumpkin dated April 20, 1990 02/14/00 S 4,595 D 70.90 I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Elizabeth Arabella Lumpkin dated April 20, 1990 02/14/00 S 18,750 D 71.50 I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Elizabeth Arabella Lumpkin dated April 20, 1990 02/15/00 S 31,250 D 72.37 814,278(1)(2) I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Elizabeth Arabella Lumpkin dated April 20, 1990 02/01/00 S 3,330 D 70.14 I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Benjamin Iverson Lumpkin dated April 20, 1990 02/02/00 S 2,985 D 70.05 I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Benjamin Iverson Lumpkin dated April 20, 1990 5. Amount of 6. Owner- 2. Trans- Securities ship Form: 7. Nature 1. Title action 4. Securities Beneficially Direct (D) of Indirect of Date 3. Trans- Acquired (A) or Owned at End or Indirect Beneficial Security (Month / action Code Disposed of (D) of Month (I) Ownership (Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) Instr. 4) (Instr. 4) ---------- ---------- ---------- -------------------- ---------------- ----------- ----------- Code V Amount (A)or(D) Price 02/03/00 S 2,645 D $70.12 I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Benjamin Iverson Lumpkin dated April 20, 1990 02/04/00 S 4,380 D 71.40 I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Benjamin Iverson Lumpkin dated April 20, 1990 02/07/00 S 3,940 D 70.14 I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Benjamin Iverson Lumpkin dated April 20, 1990 02/11/00 S 267,500 D 66.62 I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Benjamin Iverson Lumpkin dated April 20, 1990 02/14/00 S 4,595 D 70.90 I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Benjamin Iverson Lumpkin dated April 20, 1990 02/14/00 S 18,750 D 71.50 I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Benjamin Iverson Lumpkin dated April 20, 1990 5. Amount of 6. Owner- 2. Trans- Securities ship Form: 7. Nature 1. Title action 4. Securities Beneficially Direct (D) of Indirect of Date 3. Trans- Acquired (A) or Owned at End or Indirect Beneficial Security (Month / action Code Disposed of (D) of Month (I) Ownership (Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) Instr. 4) (Instr. 4) ---------- ---------- ---------- -------------------- ---------------- ----------- ----------- Code V Amount (A)or(D) Price 02/15/00 S 31,250 D $72.37 814,278 (1)(2) I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Benjamin Iverson Lumpkin dated April 20, 1990 02/01/00 S 1,900 D 70.12 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of John Woodruff Sparks dated April 20, 1990 02/02/00 S 1,700 D 70.05 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of John Woodruff Sparks dated April 20, 1990 02/03/00 S 1,515 D 70.08 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of John Woodruff Sparks dated April 20, 1990 02/04/00 S 2,505 D 71.40 75,614 (1) I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of John Woodruff Sparks dated April 20, 1990 02/01/00 S 1,900 D 70.12 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Anne Romayne Sparks dated April 20, 1990 02/02/00 S 1,700 D 70.05 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Anne Romayne Sparks dated April 20, 1990 5. Amount of 6. Owner- 2. Trans- Securities ship Form: 7. Nature 1. Title action 4. Securities Beneficially Direct (D) of Indirect of Date 3. Trans- Acquired (A) or Owned at End or Indirect Beneficial Security (Month / action Code Disposed of (D) of Month (I) Ownership (Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) Instr. 4) (Instr. 4) ---------- ---------- ---------- -------------------- ---------------- ----------- ----------- Code V Amount (A)or(D) Price 02/03/00 S 1,515 D $70.08 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Anne Romayne Sparks dated April 20, 1990 02/04/00 S 2,505 D 71.40 75,614 (1) I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Anne Romayne Sparks dated April 20, 1990 02/01/00 S 1,900 D 70.12 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Barbara Lee Sparks dated April 20, 1990 02/02/00 S 1,700 D 70.05 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Barbara Lee Sparks dated April 20, 1990 02/03/00 S 1,515 D 70.08 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Barbara Lee Sparks dated April 20, 1990 02/04/00 S 2,505 D 71.40 75,614 (1) I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Barbara Lee Sparks dated April 20, 1990 02/01/00 S 1,900 D 70.12 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Christina Louise Sparks dated April 20, 1990 5. Amount of 6. Owner- 2. Trans- Securities ship Form: 7. Nature 1. Title action 4. Securities Beneficially Direct (D) of Indirect of Date 3. Trans- Acquired (A) or Owned at End or Indirect Beneficial Security (Month / action Code Disposed of (D) of Month (I) Ownership (Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) Instr. 4) (Instr. 4) ---------- ---------- ---------- -------------------- ---------------- ----------- ----------- Code V Amount (A)or(D) Price 02/02/00 S 1,700 D $70.05 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Christina Louise Sparks dated April 20, 1990 02/03/00 S 1,515 D 70.08 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Christina Louise Sparks dated April 20, 1990 02/04/00 S 2,505 D 71.40 75,614 (1) I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Christina Louise Sparks 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 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 0 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Susan Tamara Keon DeWyngaert dated April 20, 1990 5. Amount of 6. Owner- 2. Trans- Securities ship Form: 7. Nature 1. Title action 4. Securities Beneficially Direct (D) of Indirect of Date 3. Trans- Acquired (A) or Owned at End or Indirect Beneficial Security (Month / action Code Disposed of (D) of Month (I) Ownership (Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 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 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 02/04/00 S 1,880 D 71.38 0 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Joseph John Keon III 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 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 5. Amount of 6. Owner- 2. Trans- Securities ship Form: 7. Nature 1. Title action 4. Securities Beneficially Direct (D) of Indirect of Date 3. Trans- Acquired (A) or Owned at End or Indirect Beneficial Security (Month / action Code Disposed of (D) of Month (I) Ownership (Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) Instr. 4) (Instr. 4) ---------- ---------- ---------- -------------------- ---------------- ----------- ----------- Code V Amount (A)or(D) Price 02/04/00 S 1,880 D $71.38 O 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 0 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 6. Owner- 2. Trans- Securities ship Form: 7. Nature 1. Title action 4. Securities Beneficially Direct (D) of Indirect of Date 3. Trans- Acquired (A) or Owned at End or Indirect Beneficial Security (Month / action Code Disposed of (D) of Month (I) Ownership (Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 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 0 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 0 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Pamela Keon Vitale dated April 20, 1990 622,254(3) D 3,644 I By Richard Anthony Lumpkin Trust under the Trust Agreement dated February 6, 1970
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
9. 10. 5. Number Owner- Number of ship of Deriv- Deriv- Form of 11. ative ative Deriva- Nature 1. Securi- Secur- tive of Title 2. ties 8. ities Secur- Indi- of Conver- Acquired Price Benefi- ity: rect Deri- sion or 3. Trans- 4. (A) or of cially Direct Benefi- vative Exercise action Trans- Disposed 7. Title and Deriva- Owned at (D) or cial Secur- Price of Date action of (D) 6. Date Amount of tive End of Indirect Owner- ity Deriva- (Month/ Code (Instr. Exercisable and Underlying Secur- Month (I) ship (Instr. tive Day/ (Instr. 3, 4 and Expiration Date Securities ity (Instr. (Instr. (Instr. 3) Security Year) 8) 5) (Month/Day/Year) (Instr. 3 and 4) (Instr. 5) 4) 4) 4) ------- -------- ------- ------- -------- ---------------- ---------------- ---------- ------- ------- -------- Code V (A) (D) Date Expir- Title Amount or Exer- ation Number of cis- Date Shares able Em- $17.625(1) (2) 9/25/07 Class A 80,000(1) 80,000(1) D ployee Common Stock Stock Option (right to buy) (1) Em- $17.25 (3) (4) 12/22/07 Class A 10,000(3) 10,000(3) D ployee Common Stock Stock Option (right to buy) (2) Em- $14.875(5) (6) 12/31/08 Class A 80,000(5) 80,000(5) D ployee Common Stock Stock Option (right to buy) (3)
Explanation of Responses: Explanation of footnotes to Table I: For purposes of Section 13(d) of the Securities Exchange Act, Richard A. Lumpkin and Gail Gawthrop Lumpkin are members 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. (1) On or about November 23, 1998 the trustees of the 1990 Personal Income Trust named Richard A. Lumpkin as agent with respect to sales of these shares. This delegation was revoked effective February 6, 2000. (2) Effective February 7, 2000, the trustees of these two 1990 Personal Income Trusts named Richard A. Lumpkin as agent with respect to the sale of these shares. (3) Beneficially owned for purposes of Rule 16a-1(a)(2) by Gail Gawthrop Lumpkin and Richard A. Lumpkin. 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 Richard A. Lumpkin. (1) This option was previously reported as covering 40,000 shares at an exercise price of $35.25 per share, but was adjusted to reflect a stock split on July 26, 1999. (2) The employee stock option dated 12/3/97 vests in four equal annual installments which began on September 25, 1998. (3) This option was previously reported as covering 5,000 shares at an exercise price of $34.50 per share, but was adjusted to reflect a stock split on July 26, 1999. (4) The employee stock option dated 12/22/97 vests in four equal annual installments which began on December 22, 1998. (5) This option was previously reported as covering 40,000 shares at an exercise price of $29.75 per share, but was adjusted to reflect a stock split on July 26, 1999. (6) The employee stock option dated December 31, 1998 vests in four equal annual installments beginning on December 31, 1999. SIGNATURE OF REPORTING PERSON: Richard A. Lumpkin By: Steven L. Grissom Attorney in Fact DATE: March __, 2000 JOINT FILER INFORMATION: Name: Gail Gawthrop Lumpkin Address: 121 South 17th Street, Mattoon, Illinois 61938 Designated Filer: Richard A. Lumpkin Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD Statement for Month/Year: February 2000 Signature: Gail Gawthrop Lumpkin By: Steven L. Grissom Attorney in Fact JOINT FILER INFORMATION Name: Steven L. Grissom Address: 121 South 17th Street, Mattoon, Illinois 61938 Designated Filer: Richard A. Lumpkin 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-----