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Previous: RENAISSANCE CAPITAL GROWTH & INCOME FUND III INC, SC 13G, 1999-12-10 |
Next: MCLEODUSA INC, 4, 1999-12-10 |
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 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):
(X) Form filed by One Reporting Person
( ) Form filed by More than One Reporting Person
<PAGE>
<TABLE>
<CAPTION>
Table I -- Non-Derivative Securities Acquired,Disposed of, or Beneficially Owned
<S> <C> <C> <C> <C> <C> <C>
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form: 7. Nature
action 4. Securities Owned at End Direct (D) ofIndirect
1. Title of Date 3. Trans- Acquired (A) or of Month or Indirect Beneficial
Security (Month / action 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
---- -- ------ -------- -----
Class A 11/01/99 S 1,713 D $43.79 I By Margaret
Common Stock L. Keon 1990
Personal Income
Trust for the
Benefit of Susan
Tamara Keon
DeWyngaert
dated April 20,
1990
11/02/99 S 1,043 D 43.47 I By Margaret
L. Keon 1990
Personal Income
Trust for the
Benefit of Susan
Tamara Keon
DeWyngaert
dated April 20,
1990
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form: 7. Nature
action 4. Securities Owned at End Direct (D) ofIndirect
1. Title of Date 3. Trans- Acquired (A) or of Month or Indirect Beneficial
Security (Month / action 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
---- -- ------ -------- -----
11/03/99 S 2,919 D 42.54 I By Margaret
L. Keon 1990
Personal Income
Trust for the
Benefit of
Susan Tamara
Keon DeWyngaert
dated April 20,
1990
11/04/99 S 1,255 D 42.94 I By Margaret
L. Keon 1990
Personal Income
Trust for the
Benefit of Susan
Tamara Keon
DeWyngaert
dated April 20,
1990
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form: 7. Nature
action 4. Securities Owned at End Direct (D) ofIndirect
1. Title of Date 3. Trans- Acquired (A) or of Month or Indirect Beneficial
Security (Month / action 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
---- -- ------ -------- -----
11/05/99 S 1,253 D 44.43 I By Margaret
L. Keon 1990
Personal Income
Trust for the
Benefit of
Susan Tamara
Keon DeWyngaert
dated April 20,
1990
11/08/99 S 692 D 44.20 23,937 (1) I By Margaret
L. Keon 1990
Personal Income
Trust for the
Benefit of Susan
Tamara Keon
DeWyngaert
dated April 20,
1990
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form: 7. Nature
action 4. Securities Owned at End Direct (D) ofIndirect
1. Title of Date 3. Trans- Acquired (A) or of Month or Indirect Beneficial
Security (Month / action 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
---- -- ------ -------- -----
11/01/99 S 1,713 D $43.79 I By Margaret
L. Keon 1990
Personal Income
Trust for the
Benefit of
Joseph John Keon
III dated April
20, 1990
11/02/99 S 1,043 D 43.47 I By Margaret
L. Keon 1990
Personal Income
Trust for the
Benefit of
Joseph John
Keon III dated
April 20, 1990
11/03/99 S 2,919 D 42.54 I By Margaret
L. Keon 1990
Personal Income
Trust for the
Benefit of
Joseph John
Keon III dated
III dated April
20, 1990
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form: 7. Nature
action 4. Securities Owned at End Direct (D) ofIndirect
1. Title of Date 3. Trans- Acquired (A) or of Month or Indirect Beneficial
Security (Month / action 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
---- -- ------ -------- -----
11/04/99 S 1,255 D 42.94 I By Margaret
L. Keon 1990
Personal Income
Trust for the
Benefit of
Joseph John
Keon III
dated April 20,
1990
11/05/99 S 1,253 D 44.43 I By Margaret
L. Keon 1990
Personal Income
Trust for the
Benefit of
Joseph John
Keon III dated
April 20, 1990
11/08/99 S 692 D 44.20 23,937 (2) I By Margaret
L. Keon 1990
Personal Income
Trust for the
Benefit of
Joseph John
Keon III
dated April 20,
1990
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form: 7. Nature
action 4. Securities Owned at End Direct (D) ofIndirect
1. Title of Date 3. Trans- Acquired (A) or of Month or Indirect Beneficial
Security (Month / action 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
---- -- ------ -------- -----
11/01/99 S 1,713 D $43.79 I By Margaret
L. Keon 1990
Personal Income
Trust for the
Benefit of
Katherine
Stoddert
Keon dated
April 20,
1990
11/02/99 S 1,043 D 43.47 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Katherine
Stoddert
Keon dated
April 20,
1990
11/03/99 S 2,919 D 42.54 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Katherine
Stoddert
Keon dated
April 20,
1990
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form: 7. Nature
action 4. Securities Owned at End Direct (D) ofIndirect
1. Title of Date 3. Trans- Acquired (A) or of Month or Indirect Beneficial
Security (Month / action 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
---- -- ------ -------- -----
11/04/99 S 1,255 D 42.94 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Katherine
Stoddert
Keon dated
April 20,
1990
11/05/99 S 1,253 D 44.43 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Katherine
Stoddert
Keon dated
April 20,
1990
11/08/99 S 692 D 44.20 23,937 (3) I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Katherine
Stoddert
Keon dated
April 20,
1990
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form: 7. Nature
action 4. Securities Owned at End Direct (D) ofIndirect
1. Title of Date 3. Trans- Acquired (A) or of Month or Indirect Beneficial
Security (Month / action 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
---- -- ------ -------- -----
11/01/99 S 1,713 D $43.79 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Lisa Anne
Keon dated
April 20,
1990
11/02/99 S 1,043 D 43.47 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Lisa Anne
Keon dated
April 20,
1990
11/03/99 S 2,919 D 42.54 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Lisa Anne
Keon dated
April 20,
1990
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form: 7. Nature
action 4. Securities Owned at End Direct (D) ofIndirect
1. Title of Date 3. Trans- Acquired (A) or of Month or Indirect Beneficial
Security (Month / action 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
---- -- ------ -------- -----
11/04/99 S 1,255 D 42.94 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Lisa Anne
Keon dated
April 20,
1990
11/05/99 S 1,253 D 44.43 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Lisa Anne
Keon dated
April 20,
1990
11/08/99 S 692 D 44.20 23,937 (4) I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Lisa Anne
Keon dated
April 20,
1990
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form: 7. Nature
action 4. Securities Owned at End Direct (D) ofIndirect
1. Title of Date 3. Trans- Acquired (A) or of Month or Indirect Beneficial
Security (Month / action 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
---- -- ------ -------- -----
11/01/99 S 1,713 D 43.79 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Margaret
Lynley
Keon dated
April 20,
1990
11/02/99 S 1,043 D $43.47 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Margaret
Lynley
Keon dated
April 20,
1990
11/03/99 S 2,919 D 42.54 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Margaret
Lynley
Keon dated
April 20,
1990
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form: 7. Nature
action 4. Securities Owned at End Direct (D) ofIndirect
1. Title of Date 3. Trans- Acquired (A) or of Month or Indirect Beneficial
Security (Month / action 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
---- -- ------ -------- -----
11/04/99 S 1,255 D 42.94 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Margaret
Lynley
Keon dated
April 20,
1990
11/05/99 S 1,253 D 44.43 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Margaret
Lynley
Keon dated
April 20,
1990
11/08/99 S 692 D 44.20 23,937 (5) I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Margaret
Lynley
Keon dated
April 20,
1990
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form: 7. Nature
action 4. Securities Owned at End Direct (D) ofIndirect
1. Title of Date 3. Trans- Acquired (A) or of Month or Indirect Beneficial
Security (Month / action 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
---- -- ------ -------- -----
11/01/99 S 1,713 D 43.79 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Pamela
Keon
Vitale
dated
April 20,
1990
11/02/99 S 1,043 D $43.47 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Pamela
Keon
Vitale
dated
April 20,
1990
11/03/99 S 2,919 D 42.54 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Pamela
Keon
Vitale
dated
April 20,
1990
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form: 7. Nature
action 4. Securities Owned at End Direct (D) ofIndirect
1. Title of Date 3. Trans- Acquired (A) or of Month or Indirect Beneficial
Security (Month / action 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
---- -- ------ -------- -----
11/04/99 S 1,255 D 42.94 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Pamela
Keon
Vitale
dated
April 20,
1990
11/05/99 S 1,253 D 44.43 I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Pamela
Keon
Vitale
dated
April 20,
1990
11/08/99 S 692 D 44.20 23,937 (6) I By
Margaret
L. Keon
1990
Personal
Income
Trust for
the
Benefit of
Pamela
Keon
Vitale
dated
April 20,
1990
5. Amount of
Securities 6. Owner-
2. Trans- Beneficially ship Form: 7. Nature
action 4. Securities Owned at End Direct (D) ofIndirect
1. Title of Date 3. Trans- Acquired (A) or of Month or Indirect Beneficial
Security (Month / action 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
---- -- ------ -------- -----
1,011,722 (7) 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. 10.
5. Number Owner-
Number of of ship
Deriva- Deriv- Form of
tive ative Deriv- 11.
1. Securi- 8. Secur- ative Nature
Title 2. ties Price ities Secur- of
of Conver- 3. Acquired of Benefi- ity: Indirect
Deriv- sion or Trans- 4. (A) or Deriv- cially Direct Benefi-
ative Exercise action Trans- Disposed ative Owned at (D) or cial
Secur- Price of Date action of (D) 6. Date 7. Title and Secur- End of Indirect Owner-
ity Deriva- (Month/ Code (Instr. Exercisable and Amount of Underlying ity Month (I) ship
(Instr. tive Day/ (Instr. 3, 4 and Expiration Date Securities (Instr.(Instr. (Instr. (Instr.
3) Security Year) 8) 5) (Month/Day/Year) (Instr. 3 and 4) 5) 4) 4) 4)
------ -------- ----- ------ -------- ---------------- ---------------- --------------- -------- -------
Date Expir- Amount or
Exer- ation Number of
Code V A D cisable Date Title Shares
---- ---- -- ------- ----- ----- ---------
</TABLE>
Explanation of Responses:
Explanation of footnotes to Table I: For purposes of Section 1
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 the other joint filer.
(1) On July 26, 1999, the common stock of McLeodUSA Incorporated
split 2-for-1, resulting in the reporting person's
acquisition of 16,406 additional shares of common stock.
(2) On July 26, 1999, the common stock of McLeodUSA Incorporated
split 2-for-1, resulting in the reporting person's
acquisition of 16,406 additional shares of common stock.
(3) On July 26, 1999, the common stock of McLeodUSA Incorporated
split 2-for-1, resulting in the reporting person's
acquisition of 16,406 additional shares of common stock.
(4) On July 26, 1999, the common stock of McLeodUSA Incorporated
split 2-for-1, resulting in the reporting person's
acquisition of 16,406 additional shares of common stock.
(5) On July 26, 1999, the common stock of McLeodUSA Incorporated
split 2-for-1, resulting in the reporting person's
acquisition of 16,406 additional shares of common stock.
(6) On July 26, 1999, the common stock of McLeodUSA Incorporated
split 2-for-1, resulting in the reporting person's
acquisition of 16,406 additional shares of common stock.
(7) On July 26, 1999, the common stock of McLeodUSA Incorporated
split 2-for-1, resulting in the reporting person's
acquisition of 505,861 additional shares of common stock.
SIGNATURE OF REPORTING PERSON(S):
Margaret L. Keon
Individually and as trustee of
the Margaret Lumpkin Keon Trust
By: Steven L. Grissom
Attorney in Fact
Dated: December 10, 1999
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