-----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, RFNkzH1boMwiuZqWkC8KPWMOwh1EplZ/hcJnRV2vYUkHlhsOGEbP2qxB87P5gq9u u3FcKHo67RbCL6cNXWImKw== 0000895813-99-000403.txt : 19991122 0000895813-99-000403.hdr.sgml : 19991122 ACCESSION NUMBER: 0000895813-99-000403 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991031 FILED AS OF DATE: 19991110 DATE AS OF CHANGE: 19991119 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MCLEODUSA INC CENTRAL INDEX KEY: 0000919943 STANDARD INDUSTRIAL CLASSIFICATION: 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: 99746472 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: October 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
5. Amount of 6. Owner- Securities ship Form: 2. Transaction Beneficially Direct (D) 1. Title of Date 3. Transaction 4. Securities Acquired Owned at End or Indirect 7. Nature of Indirect Security (Month/ 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 1,012 (1) D Common Stock 143,832 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of John Woodruff Sparks dated April 20, 1990 143,832 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Anne Romayne Sparks dated April 20, 1990 143,832 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Barbara Lee Sparks dated April 20, 1990 143,832 I By Mary Lee Sparks 1990 Personal Income Trust for the Benefit of Christina Louise Sparks dated April 20, 1990 393,356 D 664,418 I By Trust Agreement dated May 13, 1978 f/b/o Mary Lee Sparks
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
10. 5. 9. Owner- Number Number ship of of Form of 2. Deriva- Deriva- Deriva- Conver- tive tive tive 11. sion or Secur- Secur- Secur- Nature Exer- ities ities ity: of In- cise 3. Acquired 8. Benefi- Direct direct 1. Price Trans- 4. (A) or 6. 7. Price of cially (D) or Bene- Title of action Trans- Disposed Date Exer- Title and Deriva- Owned at In- ficial of Deri- Deriva- Date action of (D) cisable and Amount of tive End of direct Owner- vative tive (Month/ Code (Instr. Expiration Date Underlying Security Month (I) ship Security Secur- Day/ (Instr. 3, 4 (Month/Day/ Securities (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) 8) & 5) Year) (Instr. 3 & 4) 5) 4) 4) 4) ---------- ------ ------ ------- -------- -------------- -------------- --------- -------- ------- ------- Code V A D Date Expir- Title Amount or ---- - - - Exer- ation ----- Number of cisable Date Shares ------- ------ --------- Employee 12.25 09/24/97 (1) 09/24/07 Class A 50,000 44,000 D Stock Option Common (right to Stock buy) (1) Employee 12.125 10/12/98 (2) 10/12/08 Class A 10,000 10,000 D Stock Option Common (right to Stock buy) (2) Employee 14.875 12/31/98 (3) 12/31/08 Class A 10,000 10,000 D Stock Option Common (right to Stock buy) (3) Call Option 27.50 04/13/99 S 10 04/13/99 10/16/99 Class A 1,000 $3.75 0 D (Obligation Common to Sell) Stock Call Option 27.50 10/15/99 P 10 10/15/99 10/16/99 Class A 1,000 $14.25 0 D (Obligation Common to Buy) Stock
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 the other joint filer. (1) Beneficially owned for purposes of Rule 16a-1(a)(2) by Steven L. Grissom. These shares are not subject to Mr. Grissom's agreement with the other members of the 13(d) group referred to in Item 6 of the cover page of this Form 4. 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 which began 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: November 9, 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: October 1999 Signature: Steven L. Grissom -----END PRIVACY-ENHANCED MESSAGE-----