-----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, BdYQ13tDsxoc5qo1KEF6Uu/s6cYBeRb84sLwtEelvxH+FnZKexPvFJOB0MSASYZz 7pI1P6azt0eMX2OBhHurgA== 0000895813-99-000220.txt : 19990507 0000895813-99-000220.hdr.sgml : 19990507 ACCESSION NUMBER: 0000895813-99-000220 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990430 FILED AS OF DATE: 19990506 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: 99612108 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: April 1999 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): ( ) 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 Form: Securities Direct 2. Trans- Beneficially (D) or 1. Title of action Date 3. Trans- 4. Securities Acquired Owned at End Indirect 7. Nature of Indirect Security (Month/ action Code (A) or Disposed of (D) of Month (I) Beneficial Ownership (Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 & 5) (Instr. 3 & 4) (Instr. 4) (Instr. 4) ----------- ----------- ----------- ---------------------- -------------- ---------- --------------------- Code V Amount (A)or(D) Price ---- - ------ -------- ----- Class A 04/01/99 S 2,166 D $43.50 I By Joseph J. Keon III Common Stock 1998 CRUT dated October 27, 1998 04/01/99 S 192 D 43.56 I By Joseph J. Keon III 1998 CRUT dated October 27, 1998 04/05/99 S 1,154 D 43.88 I By Joseph J. Keon III 1998 CRUT dated October 27, 1998 04/05/99 S 769 D 44.00 I By Joseph J. Keon III 1998 CRUT dated October 27, 1998 04/05/99 S 769 D 44.13 I By Joseph J. Keon III 1998 CRUT dated October 27, 1998 04/09/99 S 19,903 D 47.84 0 (1) I By Joseph J. Keon III 1998 CRUT dated October 27, 1998 04/01/99 S 2,115 D 43.50 I By Margaret Lynley Keon 1998 NIM-CRUT dated October 27, 1998 04/01/99 S 192 D 43.56 I By Margaret Lynley Keon 1998 NIM-CRUT dated October 27, 1998 04/05/99 S 1,153 D 43.88 I By Margaret Lynley Keon 1998 NIM-CRUT dated October 27, 1998 04/05/99 S 769 D 44.00 I By Margaret Lynley Keon 1998 NIM-CRUT dated October 27, 1998 6. Owner- 5. Amount of ship Form: Securities Direct 2. Trans- Beneficially (D) or 1. Title of action Date 3. Trans- 4. Securities Acquired Owned at End Indirect 7. Nature of Indirect Security (Month/ action Code (A) or Disposed of (D) of Month (I) Beneficial Ownership (Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 & 5) (Instr. 3 & 4) (Instr. 4) (Instr. 4) ----------- ----------- ----------- ---------------------- -------------- ---------- --------------------- Code V Amount (A)or(D) Price ---- - ------ -------- ----- 04/05/99 S 770 D 44.13 I By Margaret Lynley Keon 1998 NIM-CRUT dated October 27, 1998 04/09/99 S 18,847 D 47.84 0 (2) I By Margaret Lynley Keon 1998 NIM-CRUT dated October 27, 1998 04/01/99 S 2,115 D 43.50 I By Susan K. DeWyngaert 1998 Spouse CRUT dated October 27, 1998 04/01/99 S 192 D 43.56 I By Susan K. DeWyngaert 1998 Spouse CRUT dated October 27, 1998 04/05/99 S 1,154 D 43.88 I By Susan K. DeWyngaert 1998 Spouse CRUT dated October 27, 1998 04/05/99 S 770 D 44.00 I By Susan K. DeWyngaert 1998 Spouse CRUT dated October 27, 1998 04/05/99 S 769 D 44.13 I By Susan K. DeWyngaert 1998 Spouse CRUT dated October 27, 1998 04/09/99 S 21,708 D 47.84 I By Susan K. DeWyngaert 1998 Spouse CRUT dated October 27, 1998 04/12/99 S 1,364 D 51.75 I By Susan K. DeWyngaert 1998 Spouse CRUT dated October 27, 1998 04/12/99 S 455 D 52.13 I By Susan K. DeWyngaert 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 909 D 52.63 I By Susan K. DeWyngaert 1998 Spouse CRUT dated October 27, 1998 6. Owner- 5. Amount of ship Form: Securities Direct 2. Trans- Beneficially (D) or 1. Title of action Date 3. Trans- 4. Securities Acquired Owned at End Indirect 7. Nature of Indirect Security (Month/ action Code (A) or Disposed of (D) of Month (I) Beneficial Ownership (Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 & 5) (Instr. 3 & 4) (Instr. 4) (Instr. 4) ----------- ----------- ----------- ---------------------- -------------- ---------- --------------------- Code V Amount (A)or(D) Price ---- - ------ -------- ----- 04/13/99 S 1,819 D 52.75 I By Susan K. DeWyngaert 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 455 D 53.00 I By Susan K. DeWyngaert 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 1,364 D 52.88 I By Susan K. DeWyngaert 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 909 D 53.06 I By Susan K. DeWyngaert 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 1,363 D 53.25 I By Susan K. DeWyngaert 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 909 D 53.75 I By Susan K. DeWyngaert 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 1,363 D 53.88 I By Susan K. DeWyngaert 1998 Spouse CRUT dated October 27, 1998 04/14/99 S 2,287 D 55.23 0 (3) I By Susan K. DeWyngaert 1998 Spouse CRUT dated October 27, 1998 04/09/99 S 21,706 D 47.84 I By Pamela K. Vitale 1998 Spouse CRUT dated October 27, 1998 04/12/99 S 1,363 D 51.75 I By Pamela K. Vitale 1998 Spouse CRUT dated October 27, 1998 6. Owner- 5. Amount of ship Form: Securities Direct 2. Trans- Beneficially (D) or 1. Title of action Date 3. Trans- 4. Securities Acquired Owned at End Indirect 7. Nature of Indirect Security (Month/ action Code (A) or Disposed of (D) of Month (I) Beneficial Ownership (Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 & 5) (Instr. 3 & 4) (Instr. 4) (Instr. 4) ----------- ----------- ----------- ---------------------- -------------- ---------- --------------------- Code V Amount (A)or(D) Price ---- - ------ -------- ----- 04/12/99 S 455 D 52.13 I By Pamela K. Vitale 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 322 D 52.63 0 (4) I By Pamela K. Vitale 1998 Spouse CRUT dated October 27, 1998 04/01/99 S 2,115 D 43.50 I By Liese A. Keon 1998 CRUT dated October 27, 1998 04/01/99 S 192 D 43.56 I By Liese A. Keon 1998 CRUT dated October 27, 1998 04/05/99 S 1,154 D 43.88 I By Liese A. Keon 1998 CRUT dated October 27, 1998 04/05/99 S 769 D 44.00 I By Liese A. Keon 1998 CRUT dated October 27, 1998 04/05/99 S 770 D 44.13 I By Liese A. Keon 1998 CRUT dated October 27, 1998 04/09/99 S 21,707 D 47.84 I By Liese A. Keon 1998 CRUT dated October 27, 1998 04/14/99 S 3,011 D 55.23 94,128 (5) I By Liese A. Keon 1998 CRUT dated October 27, 1998 04/01/99 S 2,116 D 43.50 D (6) 04/01/99 S 192 D 43.56 D (6) 04/05/99 S 1,154 D 43.88 D (6) 04/05/99 S 769 D 44.00 D (6) 6. Owner- 5. Amount of ship Form: Securities Direct 2. Trans- Beneficially (D) or 1. Title of action Date 3. Trans- 4. Securities Acquired Owned at End Indirect 7. Nature of Indirect Security (Month/ action Code (A) or Disposed of (D) of Month (I) Beneficial Ownership (Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 & 5) (Instr. 3 & 4) (Instr. 4) (Instr. 4) ----------- ----------- ----------- ---------------------- -------------- ---------- --------------------- Code V Amount (A)or(D) Price ---- - ------ -------- ----- 04/05/99 S 770 D 44.13 D (6) 04/13/99 S 587 D 52.63 D (6) 04/13/99 S 1,818 D 52.75 D (6) 04/13/99 S 455 D 53.00 D (6) 04/13/99 S 1,363 D 52.88 D (6) 04/13/99 S 909 D 53.06 D (6) 04/13/99 S 1,364 D 53.25 D (6) 04/13/99 S 909 D 53.75 D (6) 04/13/99 S 1,364 D 53.88 D (6) 04/14/99 S 2,288 D 55.23 0 (6) D 04/12/99 S 1,364 D 51.75 D (7) 04/12/99 S 454 D 52.13 D (7) 04/13/99 S 909 D 52.63 D (7) 04/13/99 S 1,818 D 52.75 D (7) 04/13/99 S 455 D 53.00 D (7) 04/13/99 S 1,364 D 52.88 D (7) 04/13/99 S 909 D 53.06 D (7) 04/13/99 S 1,364 D 53.25 D (7) 04/13/99 S 909 D 53.75 D (7) 04/13/99 S 1,363 D 53.88 D (7) 04/14/99 S 5,149 D 55.23 0 (7) D 04/12/99 S 1,363 D 51.75 D (8) 6. Owner- 5. Amount of ship Form: Securities Direct 2. Trans- Beneficially (D) or 1. Title of action Date 3. Trans- 4. Securities Acquired Owned at End Indirect 7. Nature of Indirect Security (Month/ action Code (A) or Disposed of (D) of Month (I) Beneficial Ownership (Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 & 5) (Instr. 3 & 4) (Instr. 4) (Instr. 4) ----------- ----------- ----------- ---------------------- -------------- ---------- --------------------- Code V Amount (A)or(D) Price ---- - ------ -------- ----- 04/12/99 S 455 D 52.13 D (8) 04/13/99 S 909 D 52.63 D (8) 04/13/99 S 1,818 D 52.75 D (8) 04/13/99 S 454 D 53.00 D (8) 04/13/99 S 1,364 D 52.88 D (8) 04/13/99 S 909 D 53.06 D (8) 04/13/99 S 1,364 D 53.25 D (8) 04/13/99 S 909 D 53.75 D (8) 04/13/99 S 1,364 D 53.88 D (8) 04/13/99 S 5,149 D 55.23 0 (8) D 04/05/99 S 1,154 D 43.88 I By Katherine S. Keon Holdback Trust under the Margaret L. Keon 1993 Grantor Retained Annuity Trust 04/05/99 S 769 D 44.00 I By Katherine S. Keon Holdback Trust under the Margaret L. Keon 1993 Grantor Retained Annuity Trust 04/05/99 S 769 D 44.13 I By Katherine S. Keon Holdback Trust under the Margaret L. Keon 1993 Grantor Retained Annuity Trust 04/09/99 S 13,365 D 47.84 0 (9) I By Katherine S. Keon Holdback Trust under the Margaret L. Keon 1993 Grantor Retained Annuity Trust 6. Owner- 5. Amount of ship Form: Securities Direct 2. Trans- Beneficially (D) or 1. Title of action Date 3. Trans- 4. Securities Acquired Owned at End Indirect 7. Nature of Indirect Security (Month/ action Code (A) or Disposed of (D) of Month (I) Beneficial Ownership (Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 & 5) (Instr. 3 & 4) (Instr. 4) (Instr. 4) ----------- ----------- ----------- ---------------------- -------------- ---------- --------------------- Code V Amount (A)or(D) Price ---- - ------ -------- ----- 75,037 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Susan Tamara Keon DeWyngaert dated April 20, 1990 75,037 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Joseph John Keon III dated April 20, 1990 75,037 I By Margaret L, Keon 1990 Personal Income Trust for the benefit of Katherine Stoddert Keon dated April 20, 1990 75,037 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Lisa Anne Keon dated April 20, 1990 75,037 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Margaret Lynley Keon Vitale dated April 20, 1990 75,037 I By Margaret L. Keon 1990 Personal Income Trust for the Benefit of Pamela Keon Vitale dated April 20, 1990 506,461 I By Margaret Lumpkin Keon Trust dated May 13, 1978 /TABLE Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
10. 9. Owner- 5. Number ship Number of Deri- Form of 2. of Deri- vative Deriva- 11. 1. Conver- vative 6. Securi- tive Nature Title sion or Securi- Date ties Secur- of In- of Exer- 3. ties Exer- Benefici- ity: direct Deriva- cise Trans- Acquired cisable 7. ally Direct Benefi- tive Price action 4. (A) or and Title and 8. Owned at (D) or cial Secur- of Date Trans- Disposed Expir- Amount of Price of End of Indirect Owner- ity Deri- (Month/ action of (D) ation Underlying Derivative Month (I) ship (Instr. vative Day/ Code (Instr. 3, Date (Month/ Securities Security (Instr. (Instr. (Instr. 3) Security Year) (Instr. 8) 4 & 5) Day/Year) (Instr. 3 & 4) (Instr. 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 any of the other joint filers. (1) Beneficially owned for purposes of Rule 16a-1(a)(2) by Joseph J. Keon III. These shares are not subject to Mr. Keon's agreement with the other members of the 13(d) group referred to in Item 6 of the cover page of this Form 4. (2) Beneficially owned for purposes of Rule 16a-1(a)(2) by Margaret Lynley Keon. These shares are not subject to Ms. Keon's agreement with the other members of the 13(d) group referred to in Item 6 of the cover page of this Form 4. (3) Beneficially owned for purposes of Rule 16a-1(a)(2) by Susan K. DeWyngaert. These shares are not subject to Ms. DeWyngaert's agreement with the other members of the 13(d) group referred to in Item 6 of the cover page of this Form 4. (4) Beneficially owned for purposes of Rule 16a-1(a)(2) by Pamela K. Vitale. These shares are not subject to Ms. Vitale's agreement with the other members of the 13(d) group referred to in Item 6 of the cover page of this Form 4. (5) Beneficially owned for purposes of Rule 16a-1(a)(2) by Liese A. Keon. These shares are not subject to Ms. Keon's agreement with the other members of the 13(d) group referred to in Item 6 of the cover page of this Form 4. (6) Beneficially owned for purposes of Rule 16a-1(a)(2) by Pamela K. Vitale. (7) Beneficially owned for purposes of Rule 16a-1(a)(2) by Liese A. Keon. (8) Beneficially owned for purposes of Rule 16a-1(a)(2) by Margaret Lynley Keon. (9) Beneficially owned for purposes of Rule 16a-1(a)(2) by Joseph J. Keon III and Pamela K. Vitale. SIGNATURE OF REPORTING PERSON(S): Margaret L. Keon By: Steven L. Grissom Attorney in Fact Dated: May 6, 1999 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 Statement for Month/Year: April 1999 Signature: Joseph J. Keon III By: Steven L. Grissom Attorney in Fact JOINT FILER INFORMATION Name: Pamela K. Vitale (formerly Pamela Ryan Keon) 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 Statement for Month/Year: April 1999 Signature: Pamela K. Vitale By: Steven L. Grissom Attorney in Fact JOINT FILER INFORMATION Name: Liese A. Keon Address: 2868 South Lakeridge Trail, Boulder, Colorado 80302 Designated Filer: Margaret L. Keon Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD Statement for Month/Year: April 1999 Signature: Liese A. Keon By: Steven L. Grissom Attorney in Fact JOINT FILER INFORMATION Name: Susan T. DeWyngaert Address: 335 South 7th Street, Philadelphia, Pennsylvania 19106 Designated Filer: Margaret L. Keon Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD Statement for Month/Year: April 1999 Signature: Susan T. DeWyngaert By: Steven L. Grissom Attorney in Fact JOINT FILER INFORMATION Name: Margaret Lynley Keon Address: 56 Bourne Street, London, England SW1W8JD Designated Filer: Margaret L. Keon Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD Statement for Month/Year: April 1999 Signature: Margaret Lynley Keon By: Steven L. Grissom Attorney in Fact DATED: May 6, 1999 -----END PRIVACY-ENHANCED MESSAGE-----