-----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, MqytkZDRETSKXxnTPWp9W146M8hg0+5GecsLEV4MwQabUDSJADMyz8jebVpRyzUs TMHgfLXDzz5eqcDDGuLDZw== 0000895813-99-000223.txt : 19990507 0000895813-99-000223.hdr.sgml : 19990507 ACCESSION NUMBER: 0000895813-99-000223 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: 99612112 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: SPARKS MARY LEE CENTRAL INDEX KEY: 0001047185 STANDARD INDUSTRIAL CLASSIFICATION: [] OTHER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 2438 CAMPBELL ROAD NW CITY: ALBUGUERGUE STATE: NM ZIP: 87104 BUSINESS PHONE: 2172354410 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: Mary Lee Sparks 2438 Campbell Road, N.W. Albuquerque, New Mexico 87104 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: 2. Trans- Securities Direct action Beneficially (D) or 1. Title of 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 2,116 D 43.50 I By Barbara S. Federico Common Stock 1998 Spouse CRUT dated October 27, 1998 04/01/99 S 192 D 43.56 I By Barbara S. Federico 1998 Spouse CRUT dated October 27, 1998 04/05/99 S 1,154 D 43.88 I By Barbara S. Federico 1998 Spouse CRUT dated October 27, 1998 04/05/99 S 769 D 44.00 I By Barbara S. Federico 1998 Spouse CRUT dated October 27, 1998 04/05/99 S 769 D 44.13 I By Barbara S. Federico 1998 Spouse CRUT dated October 27, 1998 04/09/99 S 21,707 D 47.84 I By Barbara S. Federico 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 910 D 52.625 I By Barbara S. Federico 1998 Spouse CRUT dated October 27, 1998 04/14/99 S 8,160 D 55.23 138,069 (1) I By Barbara S. Federico 1998 Spouse CRUT dated October 27, 1998 04/01/99 S 2,116 D 43.50 I By Anne S. Whitten 1998 Spouse NIM-CRUT dated October 27, 1998 04/01/99 S 192 D 43.56 I By Anne S. Whitten 1998 Spouse NIM-CRUT dated October 27, 1998 6. Owner- 5. Amount of ship Form: 2. Trans- Securities Direct action Beneficially (D) or 1. Title of 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 1,154 D 43.88 I By Anne S. Whitten 1998 Spouse NIM-CRUT dated October 27, 1998 04/05/99 S 770 D 44.00 I By Anne S. Whitten 1998 Spouse NIM-CRUT dated October 27, 1998 04/05/99 S 769 D 44.13 I By Anne S. Whitten 1998 Spouse NIM-CRUT dated October 27, 1998 04/09/99 S 21,707 D 47.84 I By Anne S. Whitten 1998 Spouse NIM-CRUT dated October 27, 1998 04/12/99 S 1,364 D 51.75 I By Anne S. Whitten 1998 Spouse NIM-CRUT dated October 27, 1998 04/12/99 S 454 D 52.13 I By Anne S. Whitten 1998 Spouse NIM-CRUT dated October 27, 1998 04/13/99 S 909 D 52.63 I By Anne S. Whitten 1998 Spouse NIM-CRUT dated October 27, 1998 04/13/99 S 1,818 D 52.75 I By Anne S. Whitten 1998 Spouse NIM-CRUT dated October 27, 1998 04/13/99 S 455 D 53.00 I By Anne S. Whitten 1998 Spouse NIM-CRUT dated October 27, 1998 04/13/99 S 1,363 D 52.88 I By Anne S. Whitten 1998 Spouse NIM-CRUT dated October 27, 1998 04/13/99 S 909 D 53.06 I By Anne S. Whitten 1998 Spouse NIM-CRUT dated October 27, 1998 6. Owner- 5. Amount of ship Form: 2. Trans- Securities Direct action Beneficially (D) or 1. Title of 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 1,364 D 53.25 I By Anne S. Whitten 1998 Spouse NIM-CRUT dated October 27, 1998 04/13/99 S 909 D 53.75 I By Anne S. Whitten 1998 Spouse NIM-CRUT dated October 27, 1998 04/13/99 S 1,364 D 53.88 I By Anne S. Whitten 1998 Spouse NIM-CRUT dated October 27, 1998 04/14/99 S 8,159 D 55.23 98,070 (2) I By Anne S. Whitten 1998 Spouse NIM-CRUT dated October 27, 1998 04/09/99 S 16,706 D 47.84 I By Christina S. Duncan 1998 Spouse CRUT dated October 27, 1998 04/12/99 S 1,364 D 51.75 I By Christina S. Duncan 1998 Spouse CRUT dated October 27, 1998 04/12/99 S 454 D 52.13 I By Christina S. Duncan 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 909 D 52.63 I By Christina S. Duncan 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 1,818 D 52.75 I By Christina S. Duncan 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 455 D 53.00 I By Christina S. Duncan 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 1,364 D 52.88 I By Christina S. Duncan 1998 Spouse CRUT dated October 27, 1998 6. Owner- 5. Amount of ship Form: 2. Trans- Securities Direct action Beneficially (D) or 1. Title of 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 909 D 53.06 I By Christina S. Duncan 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 1,364 D 53.25 I By Christina S. Duncan 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 909 D 53.75 I By Christina S. Duncan 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 1,363 D 53.88 I By Christina S. Duncan 1998 Spouse CRUT dated October 27, 1998 04/14/99 S 3,161 D 55.23 143,070 (3) I By Christina S. Duncan 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 909 D 52.63 I By John W. Sparks 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 1,818 D 52.75 I By John W. Sparks 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 455 D 53.00 I By John W. Sparks 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 1,363 D 52.88 I By John W. Sparks 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 910 D 53.06 I By John W. Sparks 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 1,363 D 53.25 I By John W. Sparks 1998 Spouse CRUT dated October 27, 1998 6. Owner- 5. Amount of ship Form: 2. Trans- Securities Direct action Beneficially (D) or 1. Title of 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 909 D 53.75 I By John W. Sparks 1998 Spouse CRUT dated October 27, 1998 04/13/99 S 963 D 53.88 I By John W. Sparks 1998 Spouse CRUT dated October 27, 1998 04/14/99 S 800 D 55.23 146,433 (4) I By John W. Sparks 1998 Spouse CRUT dated October 27, 1998 04/01/99 S 2,115 D 43.50 I By John W. Sparks 1998 Spouse NIM-CRUT dated October 27, 1998 04/01/99 S 193 D 43.56 I By John W. Sparks 1998 Spouse NIM-CRUT dated October 27, 1998 04/05/99 S 1,154 D 43.88 I By John W. Sparks 1998 Spouse NIM-CRUT dated October 27, 1998 04/05/99 S 769 D 44.00 I By John W. Sparks 1998 Spouse NIM-CRUT dated October 27, 1998 04/05/99 S 769 D 44.13 I By John W. Sparks 1998 Spouse NIM-CRUT dated October 27, 1998 04/09/99 S 16,705 D 47.84 I By John W. Sparks 1998 Spouse NIM-CRUT dated October 27, 1998 04/12/99 S 1,363 D 51.75 I By John W. Sparks 1998 Spouse NIM-CRUT dated October 27, 1998 04/12/99 S 455 D 52.13 I By John W. Sparks 1998 Spouse NIM-CRUT dated October 27, 1998 6. Owner- 5. Amount of ship Form: 2. Trans- Securities Direct action Beneficially (D) or 1. Title of 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 401 D 53.88 4,000 (4) I By John W. Sparks 1998 Spouse NIM-CRUT dated October 27, 1998 04/09/99 S 5,000 D 47.84 D (5) 04/14/99 S 7,360 D 55.23 0 (5) D 04/12/99 S 1,364 D 51.75 D (6) 04/12/99 S 454 D 52.13 D (6) 04/13/99 S 1,818 D 52.75 D (6) 04/13/99 S 454 D 53.00 D (6) 04/13/99 S 1,364 D 52.88 D (6) 04/13/99 S 909 D 53.06 D (6) 04/13/99 S 1,363 D 53.25 D (6) 04/13/99 S 910 D 53.75 D (6) 04/13/99 S 1,364 D 53.88 12,360 (6) D 04/01/99 S 2,116 D 43.50 D (7) 04/01/99 S 192 D 43.56 D (7) 04/05/99 S 1,154 D 43.88 D (7) 04/05/99 S 769 D 44.00 D (7) 04/05/99 S 769 D 44.13 D (7) 04/09/99 S 5,000 D 47.84 D (7) 04/14/99 S 5,000 D 55.23 7,359 (7) D 2,359 (8) D 6. Owner- 5. Amount of ship Form: 2. Trans- Securities Direct action Beneficially (D) or 1. Title of 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 ---- - ------ -------- ----- 196,678 D 150,224 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of John Woodruff Sparks dated April 20, 1990 150,224 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Anne Romayne Sparks dated April 20, 1990 150,224 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Barbara Lee Sparks dated April 20, 1990 150,224 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Christina Louise Sparks dated April 20, 1990 332,209 I By Trust Agreement dated May 13, 1978 f/b/o Mary Lee Sparks 506 (9) D
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 cis- Date Shares able ------ --------- ----- Employee $24.50 09/24/97 (1) 09/24/08 Class A 25,000 25,000 D Stock Common Option Stock (right to buy) (1) Employee 24.25 12/22/97 (2) 10/12/09 Class A 5,000 5,000 D Stock Common Option Stock (right to buy) (2) Employee 29.75 12/31/98 (3) 12/31/08 Class A 5,000 5,000 D Stock Common Option Stock (right to buy) (2) Call 55.00 04/13/99 S 5 04/13/9910/16/99 Class A 500 $7.50 0 D Option Common (Obliga- Stock tion to Sell)
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 Mary Lee Sparks and not by any of the other joint filers. (1) Beneficially owned for purposes of Rule 16a-1(a)(2) by Barbara S. Federico. These shares are not subject to Ms. Federico'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 Anne S. Whitten. These shares are not subject to Ms. Whitten'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 Christina S. Duncan. These shares are not subject to Ms. Duncan'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 John W. Sparks. These shares are not subject to Mr. Sparks' 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 John W. Sparks. (6) Beneficially owned for purposes of Rule 16a-1(a)(2) by Barbara S. Federico. (7) Beneficially owned for purposes of Rule 16a-1(a)(2) by Christina S. Duncan (8) Beneficially owned for purposes of Rule 16a-1(a)(2) by Anne S. Whitten. (9) Beneficially owned for purposes of Rule 16a-1(a)(2) by Steven L. Grissom. 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 Steven L. Grissom. (1) The employee stock option dated 9/24/97 vests in four equal annual installments which began on September 24, 1998. (2) The employee stock option dated 12/22/97 vests in four equal annual installments beginning on October 12, 1999. (3) The employee stock option dated 12/31/98 vests in four equal annual installments beginning on December 31, 1999. SIGNATURE OF REPORTING PERSON: Mary Lee Sparks By: Steven L. Grissom Attorney in Fact Dated: May 6, 1999 JOINT FILER INFORMATION Name: Steven L. Grissom Address: 121 South 17th Street, Mattoon, Illinois 61938 Designated Filer: Mary Lee Sparks Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD Statement for Month/Year: April 1999 Signature: Steven L. Grissom JOINT FILER INFORMATION Name: Anne S. Whitten Address: 38 Goodhue Road, Windham, New Hampshire 03087 Designated Filer: Mary Lee Sparks Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD Statement for Month/Year: April 1999 Signature: Anne S. Whitten By: Steven L. Grissom Attorney in Fact JOINT FILER INFORMATION Name: Barbara S. Federico Address: 4840 Ashville Bay Road, Ashville, New York 14710 Designated Filer: Mary Lee Sparks Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD Statement for Month/Year: April 1999 Signature: Barbara S. Federico By: Steven L. Grissom Attorney in Fact JOINT FILER INFORMATION Name: Christina S. Duncan (aka Christina L. Duncan) Address: 194 North Bald Hill Road, New Canaan, Connecticut 06840 Designated Filer: Mary Lee Sparks Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD Statement for Month/Year: April 1999 Signature: Christina S. Duncan By: Steven L. Grissom Attorney in Fact 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 Statement for Month/Year: April 1999 Signature: John W. Sparks By: Steven L. Grissom Attorney in Fact DATE: May 6, 1999 -----END PRIVACY-ENHANCED MESSAGE-----