-----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, UmYlPR/hBo4M82+2nlQuA76G8pein8pJaKAOlF6yJgsjxs4x0SGVOHriALTmBMK9 B2NI6G4uGyaOAVWXeRwdPw== 0000895813-98-000018.txt : 19980113 0000895813-98-000018.hdr.sgml : 19980113 ACCESSION NUMBER: 0000895813-98-000018 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: 98504632 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: SPARKS MARY LEE CENTRAL INDEX KEY: 0001047185 STANDARD INDUSTRIAL CLASSIFICATION: [] OTHER FILING VALUES: FORM TYPE: 3/A BUSINESS ADDRESS: STREET 1: 2438 CAMPBELL ROAD NW CITY: ALBUGUERGUE STATE: NM ZIP: 87104 BUSINESS PHONE: 2172354410 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) Sparks, Mary Lee (Street) 2438 Campbell Road, N.W. (City) (State) (Zip) Albuquerque, New Mexico 87104 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 2 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 196,678 D 332,209 (A) I By Trust Agreement dated May 13, 1978 f/b/o Mary Lee Sparks 89,438 (B) I By Mary Lee Sparks 1993 Grantor Retained Annuity Trust 154,674 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Anne Romayne Sparks dated April 20, 1990 154,674 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Barbara Lee Sparks dated April 20, 1990 154,674 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Christina Louise Sparks dated April 20, 1990 154,674 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of John Woodruff Sparks dated April 20, 1990
Table II -- Derivative Securities
2. Date 3. Title and 5. Ownership Exercisble 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
3 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 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 any of the other joint filers. (A) Beneficially owned for purposes of Rule 16a-1(a)(2) by Christina Sparks Duncan. (B) Beneficially owned for purposes of Rule 16a-1(a)(2) by all of the joint filers other than Mary Lee Sparks. SIGNATURE OF REPORTING PERSON: Mary Lee Sparks JOINT FILER INFORMATION Name: Anne Sparks Whitten Address: 38 Goodhue Road Windham, New Hampshire 03087 Designated Filer: Mary Lee Sparks Issuer & Ticker Symbol: McLeodUSA Incorporated MCLD Date of Event Requiring Statement: September 24, 1997 Signature: Anne Sparks Whitten 4 JOINT FILER INFORMATION Name: Barbara Sparks Federico Address: 4840 Ashville Bay Road Ashville, New York 14710 Designated Filer: Mary Lee Sparks Issuer & Ticker Symbol: McLeodUSA Incorporated MCLD Date of Event Requiring Statement: September 24, 1997 Signature: Barbara Sparks Federico JOINT FILER INFORMATION Name: Christina Sparks Duncan Address: 194 North Bald Hill Road New Canaan, Connecticut 06840 Designated Filer: Mary Lee Sparks Issuer & Ticker Symbol: McLeodUSA Incorporated MCLD Date of Event Requiring Statement: September 24, 1997 Signature: Christina Sparks Duncan 5 JOINT FILER INFORMATION Name: John W. Sparks Address: 229 Saavedra, S.W. Albuquerque, New Mexico 87105 Designated Filer: Mary Lee Sparks Issuer & Ticker Symbol: McLeodUSA Incorporated MCLD Date of Event Requiring Statement: September 24, 1997 Signature: John W. Sparks 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-----