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Previous: MCLEODUSA INC, 4, 1998-12-10 |
Next: ADVOCAT INC, SC 13G/A, 1998-12-10 |
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:
Richard A. Lumpkin
121 South 17th Street
Mattoon, Illinois 61938
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:
November 1998
5. If Amendment, Date of Original (Month/Year):
6. Relationship of Reporting Person(s) to Issuer (Check all
applicable):
(x) Director ( ) 10% Owner (x) Officer (give title below) (x)
Other (specify below)
Vice Chairman
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
<PAGE>
<TABLE>
<CAPTION>
Table I -- Non-Derivative Securities Acquired,
Disposed of, or Beneficially Owned
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form:
action 4. Securities Owned at End Direct (D)
1. Title of Date 3. Transaction Acquired (A) or of Month or Indirect 7. Nature of Indirect
Security (Month / Code Disposed of (D) (Instr. 3 (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
Code V Amount (A)or(D) Price
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Class A 11/05/98 S 4,615 D 35.75 I By Benjamin I. Lumpkin
Common 1998 NIM-CRUT dated
Stock October 27, 1998
11/05/98 S 3,077 D 35.50 I By Benjamin I. Lumpkin
1998 NIM-CRUT dated
October 27, 1998
11/06/98 S 3,846 D 35.00 I By Benjamin I. Lumpkin
1998 NIM-CRUT dated
October 27, 1998
11/06/98 S 1,923 D 35.25 I By Benjamin I. Lumpkin
1998 NIM-CRUT dated
October 27, 1998
11/06/98 S 1,539 D 35.50 I By Benjamin I. Lumpkin
1998 NIM-CRUT dated
October 27, 1998
11/06/98 S 231 D 36.50 84,769 (1) I By Benjamin I. Lumpkin
1998 NIM-CRUT dated
October 27, 1998
11/05/98 S 4,615 D 35.75 I By Elizabeth L. Celio 1998
NIM-CRUT dated October 27,
1998
11/05/98 S 3,077 D 35.50 I By Elizabeth L. Celio 1998
NIM-CRUT dated October 27,
1998
11/06/98 S 3,847 D 35.00 I By Elizabeth L. Celio 1998
NIM-CRUT dated October 27,
1998
<PAGE>
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form:
action 4. Securities Owned at End Direct (D)
1. Title of Date 3. Transaction Acquired (A) or of Month or Indirect 7. Nature of Indirect
Security (Month / Code Disposed of (D) (Instr. 3 (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
Code V Amount (A)or(D) Price
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
11/06/98 S 1,923 D 35.25 I By Elizabeth L. Celio
1998 NIM-CRUT dated
October 27, 1998
11/06/98 S 1,538 D 35.50 I By Elizabeth L. Celio
1998 NIM-CRUT dated
October 27, 1998
11/06/98 S 231 D 36.50 84,769 (2) I By Elizabeth L. Celio
1998 NIM-CRUT dated
October 27, 1998
11/24/98 S 2,152 (3) D 33.75 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Benjamin
Iverson Lumpkin
dated April 20, 1990
11/24/98 S 1,493 (3) D 33.94 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Benjamin
Iverson Lumpkin dated
April 20, 1990
11/24/98 S 3,586 (3) D 33.88 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Benjamin
Iverson Lumpkin dated
April 20, 1990
11/24/98 S 2,869 (3) D 34.25 724,601 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Benjamin
Iverson Lumpkin dated
April 20, 1990
<PAGE>
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form:
action 4. Securities Owned at End Direct (D)
1. Title of Date 3. Transaction Acquired (A) or of Month or Indirect 7. Nature of Indirect
Security (Month / Code Disposed of (D) (Instr. 3 (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
Code V Amount (A)or(D) Price
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
11/24/98 S 248 (3) D 33.75 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin
dated April 20, 1990
11/24/98 S 172 (3) D 33.94 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin
dated April 20, 1990
11/24/98 S 414 (3) D 33.88 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin
dated April 20, 1990
11/24/98 S 331 (3) D 34.25 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin
dated April 20, 1990
11/25/98 S 835 (3) D 33.25 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin
dated April 20, 1990
11/25/98 S 830 (3) D 33.75 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin
dated April 20, 1990
<PAGE>
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form:
action 4. Securities Owned at End Direct (D)
1. Title of Date 3. Transaction Acquired (A) or of Month or Indirect 7. Nature of Indirect
Security (Month / Code Disposed of (D) (Instr. 3 (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
Code V Amount (A)or(D) Price
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
11/30/98 S 250 (3) D 30.94 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin
dated April 20, 1990
11/30/98 S 871 (3) D 31.13 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin
dated April 20, 1990
11/30/98 S 1,310 (3) D 31.50 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin
dated April 20, 1990
11/30/98 S 312 (3) D 31.25 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin
dated April 20, 1990
11/30/98 S 127 (3) D 31.31 729,001 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin
dated April 20, 1990
11/24/98 S 948 (3) D 33.75 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Anne Romayne
Sparks dated April
20, 1990
<PAGE>
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form:
action 4. Securities Owned at End Direct (D)
1. Title of Date 3. Transaction Acquired (A) or of Month or Indirect 7. Nature of Indirect
Security (Month / Code Disposed of (D) (Instr. 3 (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
Code V Amount (A)or(D) Price
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
11/24/98 S 658 (3) D 33.94 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Anne Romayne
Sparks dated April
20, 1990
11/24/98 S 1,580 (3) D 33.88 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Anne Romayne
Sparks dated April
20, 1990
11/24/98 S 1,264 (3) D 34.25 150,224 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Anne Romayne
Sparks dated April
20, 1990
11/24/98 S 948 (3) D 33.75 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Barbara Lee Sparks
dated April 20, 1990
11/24/98 S 658 (3) D 33.94 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Barbara Lee Sparks
dated April 20, 1990
11/24/98 S 1,580 (3) D 33.88 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Barbara Lee Sparks
dated April 20, 1990
<PAGE>
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form:
action 4. Securities Owned at End Direct (D)
1. Title of Date 3. Transaction Acquired (A) or of Month or Indirect 7. Nature of Indirect
Security (Month / Code Disposed of (D) (Instr. 3 (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
Code V Amount (A)or(D) Price
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
11/24/98 S 1,264 (3) D 34.25 150,224 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Barbara Lee Sparks
dated April 20, 1990
11/24/98 S 504 (3) D 33.75 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Christina Louise
Sparks dated April
20, 1990
11/24/98 S 349 (3) D 33.94 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Christina Louise
Sparks dated April
20, 1990
11/24/98 S 840 (3) D 33.88 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Christina Louise
Sparks dated April
20, 1990
11/24/98 S 672 (3) D 34.25 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Christina Louise
Sparks dated April
20, 1990
11/25/98 S 835 (3) D 33.25 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Christina Louise
Sparks dated April
20, 1990
<PAGE>
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form:
action 4. Securities Owned at End Direct (D)
1. Title of Date 3. Transaction Acquired (A) or of Month or Indirect 7. Nature of Indirect
Security (Month / Code Disposed of (D) (Instr. 3 (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
Code V Amount (A)or(D) Price
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
11/25/98 S 835 (3) D 33.75 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Christina Louise
Sparks dated April
20, 1990
11/30/98 S 36 (3) D 30.94 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Christina Louise
Sparks dated April
20, 1990
11/30/98 S 126 (3) D 31.13 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Christina Louise
Sparks dated April
20, 1990
11/30/98 S 190 (3) D 31.50 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Christina Louise
Sparks dated April
20, 1990
11/30/98 S 45 (3) D 31.25 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Christina Louise
Sparks dated April
20, 1990
11/30/98 S 18 (3) D 31.31 150,224 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of Christina Louise
Sparks dated April
20, 1990
<PAGE>
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form:
action 4. Securities Owned at End Direct (D)
1. Title of Date 3. Transaction Acquired (A) or of Month or Indirect 7. Nature of Indirect
Security (Month / Code Disposed of (D) (Instr. 3 (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
Code V Amount (A)or(D) Price
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
11/30/98 S 5 (3) D 30.94 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of John Woodruff
Sparks dated April
20, 1990
11/30/98 S 15 (3) D 31.13 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of John Woodruff
Sparks dated April
20, 1990
11/30/98 S 24 (3) D 31.50 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of John Woodruff
Sparks dated April
20, 1990
11/30/98 S 5 (3) D 31.25 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of John Woodruff
Sparks dated April
20, 1990
11/30/98 S 1 (3) D 31.31 154,624 I By Mary Lee Sparks
1990 Personal Income
Trust for the Benefit
of John Woodruff
Sparks dated April
20, 1990
11/24/98 S 490 (3) D 33.75 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Joseph John Keon
III dated April 20,
1990
<PAGE>
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form:
action 4. Securities Owned at End Direct (D)
1. Title of Date 3. Transaction Acquired (A) or of Month or Indirect 7. Nature of Indirect
Security (Month / Code Disposed of (D) (Instr. 3 (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
Code V Amount (A)or(D) Price
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
11/24/98 S 341 (3) D 33.94 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Joseph John Keon
III dated April 20,
1990
11/24/98 S 816 (3) D 33.88 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Joseph John Keon
III dated April 20,
1990
11/24/98 S 653 (3) D 34.25 75,037 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Joseph John Keon
III dated April 20,
1990
11/24/98 S 490 (3) D 33.75 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Katherine Stoddert
Keon dated April 20,
1990
11/24/98 S 341 (3) D 33.94 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Katherine Stoddert
Keon dated April 20,
1990
11/24/98 S 816 (3) D 33.88 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Katherine Stoddert
Keon dated April 20,
1990
<PAGE>
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form:
action 4. Securities Owned at End Direct (D)
1. Title of Date 3. Transaction Acquired (A) or of Month or Indirect 7. Nature of Indirect
Security (Month / Code Disposed of (D) (Instr. 3 (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
Code V Amount (A)or(D) Price
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
11/24/98 S 653 (3) D 34.25 75,902 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Katherine Stoddert
Keon dated April 20,
1990
11/24/98 S 490 (3) D 33.75 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Lisa Anne Keon
dated April 20, 1990
11/24/98 S 341 (3) D 33.94 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Lisa Anne Keon
dated April 20, 1990
11/24/98 S 816 (3) D 33.88 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Lisa Anne Keon
dated April 20, 1990
11/24/98 S 653 (3) D 34.25 75,037 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Lisa Anne Keon
dated April 20, 1990
11/24/98 S 490 (3) D 33.75 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Margaret Lynley
Keon dated April 20,
1990
<PAGE>
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form:
action 4. Securities Owned at End Direct (D)
1. Title of Date 3. Transaction Acquired (A) or of Month or Indirect 7. Nature of Indirect
Security (Month / Code Disposed of (D) (Instr. 3 (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
Code V Amount (A)or(D) Price
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
11/24/98 S 341 (3) D 33.94 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Margaret Lynley
Keon dated April 20,
1990
11/24/98 S 816 (3) D 33.88 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Margaret Lynley
Keon dated April 20,
1990
11/24/98 S 653 (3) D 34.25 75,037 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Margaret Lynley
Keon dated April 20,
1990
11/24/98 S 440 (3) D 33.75 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Pamela Keon Vitale
dated April 20, 1990
11/24/98 S 306 (3) D 33.94 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Pamela Keon Vitale
dated April 20, 1990
11/24/98 S 736 (3) D 33.88 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Pamela Keon Vitale
dated April 20, 1990
<PAGE>
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form:
action 4. Securities Owned at End Direct (D)
1. Title of Date 3. Transaction Acquired (A) or of Month or Indirect 7. Nature of Indirect
Security (Month / Code Disposed of (D) (Instr. 3 (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
Code V Amount (A)or(D) Price
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
11/24/98 S 588 (3) D 34.25 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Pamela Keon Vitale
dated April 20, 1990
11/25/98 S 115 (3) D 33.25 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Pamela Keon Vitale
dated April 20, 1990
11/25/98 S 115 (3) D 33.75 75,037 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Pamela Keon Vitale
dated April 20, 1990
11/25/98 S 720 (3) D 33.25 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Susan Tamara Keon
DeWyngaert dated April
20, 1990
11/25/98 S 715 (3) D 33.75 75,037 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Susan Tamara Keon
DeWyngaert dated
April 20, 1990
11/30/98 S 35 D 30.94 I By Richard Adamson
Lumpkin Grand-
children's Trust
dated 9/5/80 f/b/o
Benjamin Iverson
Lumpkin
<PAGE>
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form:
action 4. Securities Owned at End Direct (D)
1. Title of Date 3. Transaction Acquired (A) or of Month or Indirect 7. Nature of Indirect
Security (Month / Code Disposed of (D) (Instr. 3 (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
Code V Amount (A)or(D) Price
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
11/30/98 S 122 D 31.13 I By Richard Adamson
Lumpkin Grand-
children's Trust
dated 9/5/80 f/b/o
Benjamin Iverson
Lumpkin
11/30/98 S 183 D 31.50 I By Richard Adamson
Lumpkin Grand-
children's Trust
dated 9/5/80 f/b/o
Benjamin Iverson
Lumpkin
11/30/98 S 43 D 31.25 I By Richard Adamson
Lumpkin Grand-
children's Trust
dated 9/5/80 f/b/o
Benjamin Iverson
Lumpkin
11/30/98 S 17 D 31.31 54,688 I By Richard Adamson
Lumpkin Grand-
children's Trust
dated 9/5/80 f/b/o
Benjamin Iverson
Lumpkin
11/30/98 S 35 D 30.94 I By Richard Adamson
Lumpkin Grand-
children's Trust
dated 9/5/80 f/b/o
Elizabeth Arabella
Lumpkin
11/30/98 S 122 D 31.13 I By Richard Adamson
Lumpkin Grand-
children's Trust
dated 9/5/80 f/b/o
Elizabeth Arabella
Lumpkin
11/30/98 S 183 D 31.50 I By Richard Adamson
Lumpkin Grand-
children's Trust
dated 9/5/80 f/b/o
Elizabeth Arabella
Lumpkin
<PAGE>
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form:
action 4. Securities Owned at End Direct (D)
1. Title of Date 3. Transaction Acquired (A) or of Month or Indirect 7. Nature of Indirect
Security (Month / Code Disposed of (D) (Instr. 3 (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
Code V Amount (A)or(D) Price
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
11/30/98 S 43 D 31.25 I By Richard Adamson
Lumpkin Grand-
children's Trust
dated 9/5/80 f/b/o
Elizabeth Arabella
Lumpkin
11/30/98 S 17 D 31.31 54,688 I By Richard Adamson
Lumpkin Grand-
children's Trust
dated 9/5/80 f/b/o
Elizabeth Arabella
Lumpkin
11/30/98 S 175 D 30.94 I By Trust named for
Benjamin Iverson
Lumpkin created under
the Mary Green
Lumpkin Gallo Trust
Agreement dated
December 29, 1989
11/30/98 S 610 D 31.13 I By Trust named for
Benjamin Iverson
Lumpkin created under
the Mary Green
Lumpkin Gallo Trust
Agreement dated
December 29, 1989
11/30/98 S 912 D 31.50 I By Trust named for
Benjamin Iverson
Lumpkin created under
the Mary Green
Lumpkin Gallo Trust
Agreement dated
December 29, 1989
<PAGE>
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form:
action 4. Securities Owned at End Direct (D)
1. Title of Date 3. Transaction Acquired (A) or of Month or Indirect 7. Nature of Indirect
Security (Month / Code Disposed of (D) (Instr. 3 (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
Code V Amount (A)or(D) Price
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
11/30/98 S 216 D 31.25 I By Trust named for
Benjamin Iverson
Lumpkin created under
the Mary Green Lumpkin
Gallo Trust Agreement
dated December 29,
1989
11/30/98 S 87 D 31.31 308,965 I By Trust named for
Benjamin Iverson
Lumpkin created under
the Mary Green
Lumpkin Gallo Trust
Agreement dated
December 29, 1989
11/30/98 S 175 D 30.94 I By Trust named for
Elizabeth Arabella
Lumpkin created under
the Mary Green
Lumpkin Gallo Trust
Agreement dated
December 29, 1989
11/30/98 S 610 D 31.13 I By Trust named for
Elizabeth Arabella
Lumpkin created under
the Mary Green
Lumpkin Gallo Trust
Agreement dated
December 29, 1989
11/30/98 S 912 D 31.50 I By Trust named for
Elizabeth Arabella
Lumpkin created under
the Mary Green
Lumpkin Gallo Trust
Agreement dated
December 29, 1989
<PAGE>
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form:
action 4. Securities Owned at End Direct (D)
1. Title of Date 3. Transaction Acquired (A) or of Month or Indirect 7. Nature of Indirect
Security (Month / Code Disposed of (D) (Instr. 3 (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
Code V Amount (A)or(D) Price
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
11/30/98 S 216 D 31.25 I By Trust named for
Elizabeth Arabella
Lumpkin created under
the Mary Green Lumpkin
Gallo Trust Agreement
dated December 29,
1989
11/30/98 S 87 D 31.31 308,965 I By Trust named for
Elizabeth Arabella
Lumpkin created under
the Mary Green
Lumpkin Gallo Trust
Agreement dated
December 29, 1989
311,127 (4) D
48,328 (5) I By Benjamin Iverson
Lumpkin Holdback
Trust under Richard
Anthony Lumpkin 1993
Grantor Retained
Annuity Trust
48,328 (5) I By Elizabeth A.
Lumpkin Holdback
Trust under Richard
Anthony Lumpkin
1993 Grantor Retained
Annuity Trust
1,822 I By Richard Anthony
Lumpkin Trust under
the Trust Agreement
dated February 6,
1970
60,619 I By Margaret Anne Keon
Trust under the Trust
Agreement dated
February 6, 1970
107,030 I By Mary Lee Sparks
Trust under the Trust
Agreement dated
February 6, 1970
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
Table II -- Derivative Securities Acquired,
Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
9.
5. Number of 10.
Number Deriva- Owner- 11.
of Deriv- tive ship Form Nature
ative Se- Securi- of Deriva- of Indi-
2. 3. curities 7. ties tive rect
Conversion Trans- 4. Acquired 6. Title and Benefi- Security: Benefi-
1. or action Trans- (A) or Date Exer- Amount of 8. cially Direct (D) cial
Title of Exercise Date action Disposed cisable and Underlying Price of Owned at or Indi- Owner-
Derivative Price of (Month/ Code of (D) Expiration Securities Derivative End of rect ship
Security Derivative Day/ (Instr. (Instr. 3, Date (Month/ (Instr. 3 Security Month (I) (Instr.
(Instr. 3) Security Year) 8) 4 and 5) Day/Year) and 4) (Instr. 5) (Instr. 4) (Instr. 4) 4)
- ---------- ---------- ------- ------- ---------- ------------ ---------- ---------- ---------- ---------- -------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Code V (A) (D) Date Expir- Title Amount
Exer- ation or
cisable Date Number
of
Shares
Employee $35.25 (1) 9/25/07 Class 40,000 40,000 D
Stock A
Option Common
(right to Stock
buy (1)
Employee $34.50 (2) 12/22/07 Class 5,000 5,000 D
Stock A
Option Common
(right Stock
to buy)
(2)
</TABLE>
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 note, the securities shown
in Table I are beneficially owned for purposes of Rule 16a-1(a)(2) by
Richard A. Lumpkin.
(1) Beneficially owned for purposes of Rule 16a-1(a)(2) by
Benjamin I. Lumpkin. These shares were distributed to
Benjamin I. Lumpkin on October 27, 1998 from the Trust
named for Benjamin Iverson Lumpkin created under the
Mary Green Lumpkin Gallo Trust Agreement dated
December 29, 1989, and were immediately contributed to
the Benjamin I. Lumpkin 1998 NIM-CRUT dated October 27,
1998. These shares are not subject to Mr. Lumpkin's
agreement with the other members of the 13(d) group
referred to in Item 6 above.
(2) Beneficially owned for purposes of Rule 16a-1(a)(2) by
Elizabeth L. Celio. These shares were distributed to
Elizabeth L. Celio on October 27, 1998 from the Trust
named for Elizabeth Arabella Lumpkin created under the
Mary Green Lumpkin Gallo Trust Agreement dated
December 29, 1989, and were immediately contributed to
the Elizabeth L. Celio 1998 NIM-CRUT dated October 27,
1998. These shares are not subject to Ms. Celio's
agreement with the other members of the 13(d) group
referred to in Item 6 above.
(3) On or about November 23, 1998 the trustees of the 1990
Personal Income Trust named Richard A. Lumpkin as agent
with respect to the sale of these shares.
(4) Beneficially owned for purposes of Rule 16a-1(a)(2) by
Gail Gawthrop Lumpkin and Richard A. Lumpkin.
(5) Beneficially owned for purposes of Rule 16a-1(a)(2) by
Benjamin I. Lumpkin and Elizabeth L. Celio.
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 Richard A. Lumpkin.
(1) The employee stock option dated 12/3/97 vests in four equal annual
installments which began on September 25, 1998.
(2) The employee stock option dated 12/22/97 vests in four equal annual
installments beginning on December 22, 1998.
SIGNATURE OF REPORTING PERSON:
Richard A. Lumpkin
DATE: December __, 1998
<PAGE>
JOINT FILER INFORMATION:
Name: Gail Gawthrop Lumpkin
Address: 121 South 17th Street, Mattoon, Illinois 61938
Designated Filer: Richard A. Lumpkin
Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD
Statement for Month/Year: November 1998
Signature: Gail Gawthrop Lumpkin
JOINT FILER INFORMATION:
Name: Benjamin I. Lumpkin
Address: 1316 West Howard St., #1, Chicago, Illinois 60626
Designated Filer: Richard A. Lumpkin
Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD
Statement for Month/Year: November 1998
Signature: Benjamin I. Lumpkin
<PAGE>
JOINT FILER INFORMATION:
Name: Elizabeth L. Celio
Address: 815 Columbian, Oak Park, Illinois 60302
Designated Filer: Richard A. Lumpkin
Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD
Statement for Month/Year: November 1998
Signature: Elizabeth L. Celio
<PAGE>
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