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Previous: MCLEODUSA INC, 4, 1998-01-12 |
Next: MCLEODUSA INC, 4, 1998-01-12 |
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:
December 1997
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>
<CAPTION>
Table I -- Non-Derivative Securities Acquired,
Disposed of, or Beneficially Owned
5. 6.
Amount of Owner-
Securities ship
Beneficially Form: 7.
2. Owned at End Direct Nature of
Transaction 3. 4. of Month (D) or Indirect
1. Date Transaction Securities Acquired (A) or Indirect Beneficial
Security (Month/ Code Disposed of (D) (Instr. 3 (I) ) 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 Common 12/31/97 J* 96,346 (1) D I By Margaret
Stock Lumpkin Keon
1993 Grantor
Retained
Annuity Trust
12/31/97 J* 16,057 (1) A 16,057 (1) I By Joseph J.
Keon III
Holdback Trust
under the
Margaret L.
Keon 1993
Grantor
Retained
Annuity Trust
12/31/97 J* 16,057 (1) A 16,057 (1) I By Katherine S.
Keon Holdback
Trust under the
Margaret L. Keon
1993 Grantor
Retained Annuity
Trust
12/31/97 J* 16,058 (2) A 16,058 (2) D
508,061 I By Margaret Lumpkin
Keon Trust dated
May 13, 1978
77,337 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Joseph John
Keon III dated April
20, 1990
77,337 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Katherine Stoddert
Keon dated April 20,
1990
<PAGE>
5. 6.
Amount of Owner-
Securities ship
Beneficially Form: 7.
2. Owned at End Direct Nature of
Transaction 3. 4. of Month (D) or Indirect
1. Date Transaction Securities Acquired (A) or Indirect Beneficial
Security (Month/ Code Disposed of (D) (Instr. 3 (I) ) 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
77,337 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Lisa Anne Keon
dated April 20, 1990
77,337 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Margaret Lynley
Keon dated April
20, 1990
77,337 I By Margaret L. Keon
1990 the Benefit of
Pamela Keon Vitale
dated April 20, 1990
77,337 I By Margaret L. Keon
1990 Personal Income
Trust for the Benefit
of Susan Tamara Keon
DeWyngaert dated April
20, 1990
</TABLE>
<TABLE>
<CAPTION>
Table II -- Derivative Securities Acquired,
Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
5.
3. Number 6. 7. 8. 9. 10. 11.
Trans- of Deriv- Date Exer- Title and Price of Number of Ownership Nature
1. 2. action 4. ative Se- cisable and Amount of Derivative Derivative Form of of In-
Title of Conversion Date Trans- curities Expiration Underlying Security Securities Derivative direct
Derivative or Exercise (Month/ action Acquired Date Securities (Instr. 5) Benifically Security: Beneficial
Security Price of Day/ Code (A) or (Month/ (Instr. 3 Owned at Direct (D) Ownershipn
(Instr. 3) Derivative Year) (Instr. Disposed Day/Year) and 4) End of or Indirect (Instr. 4)
Security 8) of (D) Month (I) (Instr.
(Instr. 3, (Instr. 4) 4)
4 and 5)
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Code V (A) (D) Date Expir- Title Amount
Exer- ation or Num-
cis Date ber of
able Shares
</TABLE>
<PAGE>
Explanation of Responses:
*Explanation of Transaction Code J - Other Acquisition or Disposition:
Pursuant to the terms of the Margaret Lumpkin Keon 1993 Grantor Retained
Annuity Trust, on December 31, 1997, the Trust terminated and the securities
held in the Trust are being distributed to directly to the beneficiaries or
to the Holdback Trusts, in each case as identified in Table I or the
footnotes to Table I.
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 either of the other joint filers.
(1) Beneficially owned for purposes of Rule 16a-1(a)(2) by Pamela K.
Vitale and Joseph J. Keon III.
(2) Beneficially owned for purposes of Rule 16a-1(a)(2) by Pamela K.
Vitale.
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: December 1997
Signature: Joseph J. Keon III
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: December 1997
Signature: Pamela K. Vitale
DATE: January 9, 1998<PAGE>
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