-----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, O15BlnmzHO2mkyScgYL06j+tG6bQNtXzJ94Johxt520PLFBFzT6ZVC9rKr8isw40 RvfwHI9FpAhl97gSZFnvBQ== 0000895813-98-000017.txt : 19980113 0000895813-98-000017.hdr.sgml : 19980113 ACCESSION NUMBER: 0000895813-98-000017 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970924 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: 3/A SEC ACT: SEC FILE NUMBER: 000-20763 FILM NUMBER: 98504629 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: KEON MARGARET LUMPKIN CENTRAL INDEX KEY: 0000924869 STANDARD INDUSTRIAL CLASSIFICATION: [] OTHER FILING VALUES: FORM TYPE: 3/A 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 3/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDED FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person (Last) (First) (Middle) Keon, Margaret L. (Street) c/o Keon Associates 16 Miller Avenue, Suite 203 (City) (State) (Zip) Mill Valley, California 94941 2. Date of Event Requiring Statement (Month/Day/Year) 09/24/97 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Issuer Name and Ticker or Trading Symbol McLeodUSA Incorporated MCLD 5. 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% 6. If Amendment, Date of Original (Month/Day/Year) 10/6/97 (filing date) 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 Beneficially Owned
1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Beneficially Owned Direct (D) or Indirect Indirect (I) Beneficial Ownership Class A Common Stock 508,061 I By Margaret Lumpkin Keon Trust dated May 13, 1978 2 1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Beneficially Owned Direct (D) or Indirect Indirect (I) Beneficial Ownership 96,346 (A) I By Margaret Lumpkin Keon 1993 Grantor Retained Annuity Trust 77,337 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Joseph John Keon III dated April 20, 1990 77,337 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Katherine Stoddert Keon dated April 20, 1990 77,337 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Lisa Anne Keon dated April 20, 1990 77,337 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Margaret Lynley Keon dated April 20, 1990 77,337 By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Pamela Keon Vitale dated April 20, 1990 77,337 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Susan Tamara Keon DeWyngaert dated April 20, 1990
3 Table II -- Derivative Securities Beneficially Owned
2. Date 3. Title and 5. Ownership Exercisable Amount of Form of and Expiration Underlying Derivative Date (Month/ Securities Security: Day/Year) 1. Title of Date Expira- Title Amount 4. Conversion Direct Indirect 6. Nature Derivative Exer- tion or or Exercise (D) (i) of Indirect Security cisable Date Number Price of Beneficial of Derivative Ownership Shares Security
Explanation of Responses: 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 note, the securities shown in Table I are beneficially owned for purposes of Rule 16a-1(a)(2) by Margaret L. Keon and not by either of the other joint filers. (A) Beneficially owned for purposes of Rule 16a-1(a)(2) by Pamela K. Vitale and Joseph J. Keon III. SIGNATURE OF REPORTING PERSON(S): Margaret L. Keon JOINT FILER INFORMATION Name: Joseph J. Keon III Address: c/o Keon Associates 16 Miller Avenue, Suite 203 Mill Valley, California 94941 Designated Filer: Margaret L. Keon Issuer & Ticker Symbol: McLeodUSA Incorporated MCLD Date of Event Requiring Statement: September 24, 1997 Signature: Joseph J. Keon III 4 JOINT FILER INFORMATION Name: Pamela K. Vitale Address: c/o Keon Associates 16 Miller Avenue, Suite 203 Mill Valley, California 94941 Designated Filer: Margaret L. Keon Issuer & Ticker Symbol: McLeodUSA Incorporated MCLD Date of Event Requiring Statement: September 24, 1997 Signature: Pamela K. Vitale DATE: January 9, 1998 Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). -----END PRIVACY-ENHANCED MESSAGE-----