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Previous: MCLEODUSA INC, 4, 1998-12-10 |
Next: MCLEODUSA INC, 4, 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:
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:
November 1998
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<PAGE>
<TABLE>
Table I -- Non-Derivative Securities Acquired,
Disposed of, or Beneficially Owned
<S> <C> <C> <C> <C> <C> <C>
1. Title of 2. Trans- 3. 4. Securities 5. Amount of 6. 7. Nature
Security action Transaction Acquired (A) or Securities Ownership of
(Instr. 3) Date Code Disposed of (D) Beneficially Form: Indirect
(Month / (Instr. 8) (Instr. 3, 4 and 5) Owned at End Direct (D) Beneficial
Day/Year) of Month or Ownership
(Instr. 3 Indirect (Instr. 4)
and 4) (I)
(Instr. 4)
Code V Amount (A)or(D) Price
Class A 11/05/98 S 4,615 D 35.75 I By Joseph J.
Common Stock Keon III 1998
CRUT dated
October 27,
1998
11/05/98 S 3,077 D 35.50 I By Joseph J.
Keon III 1998
CRUT dated
October 27,
1998
11/06/98 S 3,846 D 35.00 I By Joseph J.
Keon III 1998
CRUT dated
October 27,
1998
11/06/98 S 1,924 D 35.25 I By Joseph J.
Keon III 1998
CRUT dated
October 27,
1998
11/06/98 S 1,538 D 35.50 I By Joseph J.
Keon III 1998
CRUT dated
October 27,
1998
11/06/98 S 231 D 36.50 69,769 (1) I By Joseph J.
Keon III 1998
CRUT dated
October 27,
1998
11/05/98 S 4,616 D 35.75 I By Margaret
Lynley Keon
1998 NIM-CRUT
dated October
27, 1998<PAGE>
1. Title of 2. Trans- 3. 4. Securities 5. Amount of 6. 7. Nature
Security action Transaction Acquired (A) or Securities Ownership of
(Instr. 3) Date Code Disposed of (D) Beneficially Form: Indirect
(Month / (Instr. 8) (Instr. 3, 4 and 5) Owned at End Direct (D) Beneficial
Day/Year) of Month or Ownership
(Instr. 3 Indirect (Instr. 4)
and 4) (I)
(Instr. 4)
Code V Amount (A)or(D) Price
11/05/98 S 3,077 D 35.50 I By Margaret
Lynley Keon
1998 NIM-CRUT
dated October
27, 1998
11/06/98 S 3,846 D 35.00 I By Margaret
Lynley Keon
1998 NIM-CRUT
dated October
27, 1998
11/06/98 S 1,923 D 35.25 I By Margaret
Lynley Keon
1998 NIM-CRUT
dated October
27, 1998
11/06/98 S 1,538 D 35.50 I By Margaret
Lynley Keon
1998 NIM-CRUT
dated October
27, 1998
11/06/98 S 231 D 36.50 84,769 (2) I By Margaret
Lynley Keon
1998 NIM-CRUT
dated October
27, 1998
11/05/98 S 4,616 D 35.75 I By Susan K.
DeWyngaert
1998 Spouse
CRUT dated
October 27,
1998
11/05/98 S 3,077 D 35.50 I By Susan K.
DeWyngaert
1998 Spouse
CRUT dated
October 27,
1998<PAGE>
1. Title of 2. Trans- 3. 4. Securities 5. Amount of 6. 7. Nature
Security action Transaction Acquired (A) or Securities Ownership of
(Instr. 3) Date Code Disposed of (D) Beneficially Form: Indirect
(Month / (Instr. 8) (Instr. 3, 4 and 5) Owned at End Direct (D) Beneficial
Day/Year) of Month or Ownership
(Instr. 3 Indirect (Instr. 4)
and 4) (I)
(Instr. 4)
Code V Amount (A)or(D) Price
11/06/98 S 3,846 D 35.00 I By Susan K.
DeWyngaert
1998 Spouse
CRUT dated
October 27,
1998
11/06/98 S 1,923 D 35.25 I By Susan K.
DeWyngaert
1998 Spouse
CRUT dated
October 27,
1998
11/06/98 S 1,538 D 35.50 I By Susan K.
DeWyngaert
1998 Spouse
CRUT dated
October 27,
1998
11/06/98 S 231 D 36.50 84,769 (3) I By Susan K.
DeWyngaert
1998 Spouse
CRUT dated
October 27,
1998
11/05/98 S 4,615 D 35.75 I By Pamela K.
Vitale 1998
Spouse CRUT
dated October
27, 1998
11/05/98 S 3,077 D 35.50 I By Pamela K.
Vitale 1998
Spouse CRUT
dated October
27, 1998
11/06/98 S 3,846 D 35.00 I By Pamela K.
Vitale 1998
Spouse CRUT
dated October
27, 1998<PAGE>
1. Title of 2. Trans- 3. 4. Securities 5. Amount of 6. 7. Nature
Security action Transaction Acquired (A) or Securities Ownership of
(Instr. 3) Date Code Disposed of (D) Beneficially Form: Indirect
(Month / (Instr. 8) (Instr. 3, 4 and 5) Owned at End Direct (D) Beneficial
Day/Year) of Month or Ownership
(Instr. 3 Indirect (Instr. 4)
and 4) (I)
(Instr. 4)
Code V Amount (A)or(D) Price
11/06/98 S 1,923 D 35.25 I By Pamela K.
Vitale 1998
Spouse CRUT
dated October
27, 1998
11/06/98 S 1,538 D 35.50 I By Pamela K.
Vitale 1998
Spouse CRUT
dated October
27, 1998
11/06/98 S 231 D 36.50 84,770 (4) I By Pamela K.
Vitale 1998
Spouse CRUT
dated October
27, 1998
11/05/98 S 4,616 D 35.75 I By Liese A.
Keon 1998
CRUT dated
October 27,
1998
11/05/98 S 3,077 D 35.50 I By Liese A.
Keon 1998
CRUT dated
October 27,
1998
11/06/98 S 3,846 D 35.00 I By Liese A.
Keon 1998
CRUT dated
October 27,
1998<PAGE>
1. Title of 2. Trans- 3. 4. Securities 5. Amount of 6. 7. Nature
Security action Transaction Acquired (A) or Securities Ownership of
(Instr. 3) Date Code Disposed of (D) Beneficially Form: Indirect
(Month / (Instr. 8) (Instr. 3, 4 and 5) Owned at End Direct (D) Beneficial
Day/Year) of Month or Ownership
(Instr. 3 Indirect (Instr. 4)
and 4) (I)
(Instr. 4)
Code V Amount (A)or(D) Price
11/06/98 S 1,923 D 35.25 I By Liese A.
Keon 1998
CRUT dated
October 27,
1998
11/06/98 S 1,538 D 35.50 I By Liese A.
Keon 1998
CRUT dated
October 27,
1998
11/06/98 S 231 D 36.50 184,769 (5) I By Liese A.
Keon 1998
CRUT dated
October 27,
1998
11/24/98 S 490 D 33.75 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 341 D 33.94 I By Margaret
L. Keon 1990
Personal
Income Trust
for the
Benefit of
Joseph John
Keon III
dated April
20, 1990<PAGE>
1. Title of 2. Trans- 3. 4. Securities 5. Amount of 6. 7. Nature
Security action Transaction Acquired (A) or Securities Ownership of
(Instr. 3) Date Code Disposed of (D) Beneficially Form: Indirect
(Month / (Instr. 8) (Instr. 3, 4 and 5) Owned at End Direct (D) Beneficial
Day/Year) of Month or Ownership
(Instr. 3 Indirect (Instr. 4)
and 4) (I)
(Instr. 4)
Code V Amount (A)or(D) Price
11/24/98 S 816 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 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 D 33.75 I By Margaret
L. Keon 1990
Personal
Income Trust
for the
Benefit of
Katherine
Stoddert Keon
dated
April 20,
1990<PAGE>
1. Title of 2. Trans- 3. 4. Securities 5. Amount of 6. 7. Nature
Security action Transaction Acquired (A) or Securities Ownership of
(Instr. 3) Date Code Disposed of (D) Beneficially Form: Indirect
(Month / (Instr. 8) (Instr. 3, 4 and 5) Owned at End Direct (D) Beneficial
Day/Year) of Month or Ownership
(Instr. 3 Indirect (Instr. 4)
and 4) (I)
(Instr. 4)
Code V Amount (A)or(D) Price
11/24/98 S 341 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 D 33.88 I By Margaret
L. Keon 1990
Personal
Income Trust
for the
Benefit of
Katherine
Stoddert Keon
dated
April 20,
1990
11/24/98 S 653 D 34.25 75,037 I By Margaret
L. Keon 1990
Personal
Income Trust
for the
Benefit of
Katherine
Stoddert Keon
dated
April 20,
1990<PAGE>
1. Title of 2. Trans- 3. 4. Securities 5. Amount of 6. 7. Nature
Security action Transaction Acquired (A) or Securities Ownership of
(Instr. 3) Date Code Disposed of (D) Beneficially Form: Indirect
(Month / (Instr. 8) (Instr. 3, 4 and 5) Owned at End Direct (D) Beneficial
Day/Year) of Month or Ownership
(Instr. 3 Indirect (Instr. 4)
and 4) (I)
(Instr. 4)
Code V Amount (A)or(D) Price
11/24/98 S 490 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 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 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 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<PAGE>
1. Title of 2. Trans- 3. 4. Securities 5. Amount of 6. 7. Nature
Security action Transaction Acquired (A) or Securities Ownership of
(Instr. 3) Date Code Disposed of (D) Beneficially Form: Indirect
(Month / (Instr. 8) (Instr. 3, 4 and 5) Owned at End Direct (D) Beneficial
Day/Year) of Month or Ownership
(Instr. 3 Indirect (Instr. 4)
and 4) (I)
(Instr. 4)
Code V Amount (A)or(D) Price
11/24/98 S 490 D 33.75 I By Margaret
L. Keon 1990
Personal
Income Trust
for the
Benefit of
Margaret
Lynley Keon
dated
April 20,
1990
11/24/98 S 341 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 D 33.88 I By Margaret
L. Keon 1990
Personal
Income Trust
for the
Benefit of
Margaret
Lynley Keon
dated
April 20,
1990<PAGE>
1. Title of 2. Trans- 3. 4. Securities 5. Amount of 6. 7. Nature
Security action Transaction Acquired (A) or Securities Ownership of
(Instr. 3) Date Code Disposed of (D) Beneficially Form: Indirect
(Month / (Instr. 8) (Instr. 3, 4 and 5) Owned at End Direct (D) Beneficial
Day/Year) of Month or Ownership
(Instr. 3 Indirect (Instr. 4)
and 4) (I)
(Instr. 4)
Code V Amount (A)or(D) Price
11/24/98 S 653 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 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 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 D 33.88 I By Margaret
L. Keon 1990
Personal
Income Trust
for the
Benefit of
Pamela Keon
Vitale dated
April 20,
1990<PAGE>
1. Title of 2. Trans- 3. 4. Securities 5. Amount of 6. 7. Nature
Security action Transaction Acquired (A) or Securities Ownership of
(Instr. 3) Date Code Disposed of (D) Beneficially Form: Indirect
(Month / (Instr. 8) (Instr. 3, 4 and 5) Owned at End Direct (D) Beneficial
Day/Year) of Month or Ownership
(Instr. 3 Indirect (Instr. 4)
and 4) (I)
(Instr. 4)
Code V Amount (A)or(D) Price
11/24/98 S 588 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 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 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 D 33.25 I By Margaret
L. Keon 1990
Personal
Income Trust
for the
Benefit of
Susan Tamara
Keon
DeWyngaert
dated April
20, 1990<PAGE>
1. Title of 2. Trans- 3. 4. Securities 5. Amount of 6. 7. Nature
Security action Transaction Acquired (A) or Securities Ownership of
(Instr. 3) Date Code Disposed of (D) Beneficially Form: Indirect
(Month / (Instr. 8) (Instr. 3, 4 and 5) Owned at End Direct (D) Beneficial
Day/Year) of Month or Ownership
(Instr. 3 Indirect (Instr. 4)
and 4) (I)
(Instr. 4)
Code V Amount (A)or(D) Price
11/25/98 S 715 D 33.75 75,902 I By Margaret
L. Keon 1990
Personal
Income Trust
for the
Benefit of
Susan Tamara
Keon
DeWyngaert
dated April
20, 1990
16,057 (6) I By Joseph J.
Keon III
Holdback
Trust under
the Margaret
L. Keon 1993
Grantor
Retained
Annuity Trust
16,057 (6) I By Katherine
S. Keon
Holdback
Trust under
the Margaret
L. Keon 1993
Grantor
Retained
Annuity Trust
16,058 (7) D
16,058 (8) D
16,058 (9) D
16,058 (10) D
508,061 I By Margaret
Lumpkin Keon
Trust dated
May 13, 1978
/TABLE
<PAGE>
<TABLE>
<CAPTION>
Table II -- Derivative Securities Acquired,
Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
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)
---------- ---------- ------- ------- ---------- ------------ ---------- ---------- ---------- ---------- -------
Code V (A) (D) Date Expir- Title Amount
Exer- ation or
cisable Date Number
of Shares
</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 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 were distributed to Joseph J. Keon III on
October 27, 1998 from the Trust named for Joseph J. Keon III
created under the Mary Green Lumpkin Gallo Trust Agreement dated
December 29, 1989, and were immediately contributed to the Joseph
J. Keon III 1998 CRUT dated October 27, 1998. These shares are not
subject to Mr. Keon 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 Margaret
Lynley Keon. These shares were distributed to Margaret Lynley Keon
on October 27, 1998 from the Trust named for Margaret Lynley Keon
created under the Mary Green Lumpkin Gallo Trust Agreement dated
December 29, 1989, and were immediately contributed to the Margaret
Lynley Keon 1998 NIM-CRUT dated October 27, 1998. These shares are
not subject to Ms. Keon s agreement with the other members of the
13(d) group referred to in Item 6 above.<PAGE>
(3) Beneficially owned for purposes of Rule 16a-1(a)(2) by Susan K.
DeWyngaert. These shares were distributed to Susan K. DeWyngaert
on October 27, 1998 from the Trust named for Susan K. DeWyngaert
created under the Mary Green Lumpkin Gallo Trust Agreement dated
December 29, 1989, and were immediately contributed to the Susan K.
DeWyngaert 1998 Spouse CRUT dated October 27, 1998. These shares
are not subject to Ms. DeWyngaert s agreement with the other
members of the 13(d) group referred to in Item 6 above.
(4) Beneficially owned for purposes of Rule 16a-1(a)(2) by Pamela K.
Vitale. These shares were distributed to Pamela K. Vitale on
October 27, 1998 from the Trust named for Pamela K. Vitale created
under the Mary Green Lumpkin Gallo Trust Agreement dated December
29, 1989, and were immediately contributed to the Pamela K. Vitale
1998 Spouse CRUT dated October 27, 1998. These shares are not
subject to Ms. Vitale s agreement with the other members of the
13(d) group referred to in Item 6 above.
(5) Beneficially owned for purposes of Rule 16a-1(a)(2) by Liese A.
Keon. These shares were distributed to Liese A. Keon on October
27, 1998 from the Trust named for Liese A. Keon created under the
Mary Green Lumpkin Gallo Trust Agreement dated December 29, 1989,
and were immediately contributed to the Liese A. Keon 1998 CRUT
dated October 27, 1998. These shares are not subject to Ms. Keon s
agreement with the other members of the 13(d) group referred to in
Item 6 above.
(6) Beneficially owned for purposes of Rule 16a-1(a)(2) by Joseph J.
Keon III and Pamela K. Vitale.
(7) Beneficially owned for purposes of Rule 16a-1(a)(2) by Pamela K.
Vitale.
(8) Beneficially owned for purposes of Rule 16a-1(a)(2) by Liese A.
Keon.
(9) Beneficially owned for purposes of Rule 16a-1(a)(2) by Susan T.
DeWyngaert.
(10) Beneficially owned for purposes of Rule 16a-1(a)(2) by Margaret
Lynley Keon.
SIGNATURE OF REPORTING PERSON(S):
Margaret L. Keon<PAGE>
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: November 1998
Signature: Joseph J. Keon III<PAGE>
JOINT FILER INFORMATION
Name: Pamela K. Vitale
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: November 1998
Signature: Pamela K. Vitale<PAGE>
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: November 1998
Signature: Liese A. Keon<PAGE>
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: November 1998
Signature: Susan T. DeWyngaert<PAGE>
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: November 1998
Signature: Margaret Lynley Keon
DATE: December __, 1998
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