-----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, N3K7MRAyGoxSA8wCmrguVH6Ujq+4l/mo5gyLfYwE4uPShubG8Yg5LDgsU/2o520u Gi8QtBo9Rm1QX+/4Hofx4g== 0000895813-00-000125.txt : 20000411 0000895813-00-000125.hdr.sgml : 20000411 ACCESSION NUMBER: 0000895813-00-000125 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000331 FILED AS OF DATE: 20000410 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: 597404 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: March 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
6. Owner- 5. Amount of ship 2. Trans- Securities Form: 7. Nature of action 4. Securities Acquired Beneficially Direct (D) Indirect 1. Title of Date 3. Trans- (A) or Owned at End or In- Beneficial Security (Month / action Code Disposed of (D) of Month direct (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 617,630 I By Trust named Common for Elizabeth L. Stock Celio created under the Mary Green Gallo Trust Agreement dated December 29, 1989 617,630 I By Trust named for Benjamin I. Lumpkin created under the Mary Green Gallo Trust Agreement dated December 29, 1989 109,276 I By Richard Adamson Lumpkin Grandchildren's Trust dated September 5, 1980 for the benefit of Elizabeth L. Celio 109,276 I By Richard Adamson Lumpkin Grandchildren's Trust dated September 5, 1980 for the benefit of Benjamin I. Lumpkin 6. Owner- 5. Amount of ship 2. Trans- Securities Form: 7. Nature of action 4. Securities Acquired Beneficially Direct (D) Indirect 1. Title of Date 3. Trans- (A) or Owned at End or In- Beneficial Security (Month / action Code Disposed of (D) of Month direct (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 ---- - ------ -------- ---- 814,278(1) I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Elizabeth Arabella Lumpkin dated April 20, 1990 814,278 (1) I By Richard Anthony Lumpkin 1990 Personal Income Trust for the Benefit of Benjamin Iverson Lumpkin dated April 20, 1990 622,254(2) I By Gail G. Lumpkin Trust dated December 14, 1985 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)
10. 9. Owner- Number ship 2. 5. of Form of Conver- Number Deri- Deriva- sion of Deriv- vative tive 11. or ative Securi- Security Nature 1. Exer- Secur- 7. 8. ties : of In- Title cise 3. ties 6. Title Price Benefi- Direct direct of Price Trans- 4. Acquired (A) Date and of cially (D) Bene- Deriva- of action Trans- or Exercisable Amount of Deriva- Owned at or In- ficial tive Deri- Date action Disposed and Expir- Underlying tive End of direct Owner- Secur- vative (Month/ Code of (D) ation Date Securities Security Month (I) ship ity Secur- Day/ (Instr. (Instr. 3, (Month/ (Instr. 3 (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) 8) 4 and 5) Day/ Year) and 4) 5) 4) 4) 4) --------- ------- ------ ------- ---------- ---------- ---------- ------ ------ ------- ------- Amount Date or Exer- Expir- Number cis- ation of Code V (A) (D) able Date Title Shares ---- - --- --- ---- ------ ----- -------- Employee $17.625 (1) 9/25/07 Class A 80,000 80,000 D Stock Option Common (right to Stock buy) (1) Employee $17.25 (2) 12/22/07 Class A 10,000 10,000 D Stock Option Common (right to Stock buy) (2) Employee $14.875 (3) 12/31/08 Class A 80,000 80,000 D Stock Option Common (right to Stock buy) (3) Employee $52.563 25,000 (4) 1/7/10 Class A 25,000 25,000 D Stock Option Common (right to Stock buy)
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) 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. (2) Effective March 16, 2000, Gail G. Lumpkin's 622,254 shares of McLeodUSA were transferred to the Gail G. Lumpkin Trust dated December 14, 1985. Until her death on March 17, 2000, she was the trustee of the trust. Subsequent to her death, Richard A. Lumpkin became the trustee. 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) The employee stock option dated 12/3/97 vests in four equal annual installments which began on September 25, 1998. (2) The employee stock option dated 12/22/97 vests in four equal annual installments which began on December 22, 1998. (3) The employee stock option dated December 31, 1998 vests in four equal annual installments beginning on December 31, 1999. (4) The employee stock option dated January 7, 2000 vests in full on January 7, 2003. SIGNATURE OF REPORTING PERSON: Richard A. Lumpkin By: Steven L. Grissom Attorney in Fact DATE: April __, 2000 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: March 2000 Signature: Steven L. Grissom As trustee of the Personal Income Trusts -----END PRIVACY-ENHANCED MESSAGE-----