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Previous: CKE RESTAURANTS INC, 4, 1999-05-06 |
Next: MCLEODUSA INC, 4, 1999-05-06 |
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:
April 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<PAGE>
Table I -- Non-Derivative Securities Acquired,
Disposed of, or Beneficially Owned
<TABLE>
<CAPTION>
6. Owner-
5. Amount of ship Form:
Securities Direct
2. Trans- Beneficially (D) or
1. Title of action Date 3. Trans- 4. Securities Acquired Owned at End Indirect 7. Nature of Indirect
Security (Month/ action 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
---- - ------ -------- -----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Class A 04/01/99 S 2,166 D $43.50 I By Joseph J. Keon III
Common Stock 1998 CRUT dated
October 27, 1998
04/01/99 S 192 D 43.56 I By Joseph J. Keon III
1998 CRUT dated
October 27, 1998
04/05/99 S 1,154 D 43.88 I By Joseph J. Keon III
1998 CRUT dated
October 27, 1998
04/05/99 S 769 D 44.00 I By Joseph J. Keon III
1998 CRUT dated
October 27, 1998
04/05/99 S 769 D 44.13 I By Joseph J. Keon III
1998 CRUT dated
October 27, 1998
04/09/99 S 19,903 D 47.84 0 (1) I By Joseph J. Keon III
1998 CRUT dated
October 27, 1998
04/01/99 S 2,115 D 43.50 I By Margaret Lynley Keon
1998 NIM-CRUT dated
October 27, 1998
04/01/99 S 192 D 43.56 I By Margaret Lynley Keon
1998 NIM-CRUT dated
October 27, 1998
04/05/99 S 1,153 D 43.88 I By Margaret Lynley Keon
1998 NIM-CRUT dated
October 27, 1998
04/05/99 S 769 D 44.00 I By Margaret Lynley Keon
1998 NIM-CRUT dated
October 27, 1998<PAGE>
6. Owner-
5. Amount of ship Form:
Securities Direct
2. Trans- Beneficially (D) or
1. Title of action Date 3. Trans- 4. Securities Acquired Owned at End Indirect 7. Nature of Indirect
Security (Month/ action 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
---- - ------ -------- -----
04/05/99 S 770 D 44.13 I By Margaret Lynley Keon
1998 NIM-CRUT dated
October 27, 1998
04/09/99 S 18,847 D 47.84 0 (2) I By Margaret Lynley Keon
1998 NIM-CRUT dated
October 27, 1998
04/01/99 S 2,115 D 43.50 I By Susan K. DeWyngaert
1998 Spouse CRUT dated
October 27, 1998
04/01/99 S 192 D 43.56 I By Susan K. DeWyngaert
1998 Spouse CRUT dated
October 27, 1998
04/05/99 S 1,154 D 43.88 I By Susan K. DeWyngaert
1998 Spouse CRUT dated
October 27, 1998
04/05/99 S 770 D 44.00 I By Susan K. DeWyngaert
1998 Spouse CRUT dated
October 27, 1998
04/05/99 S 769 D 44.13 I By Susan K. DeWyngaert
1998 Spouse CRUT dated
October 27, 1998
04/09/99 S 21,708 D 47.84 I By Susan K. DeWyngaert
1998 Spouse CRUT dated
October 27, 1998
04/12/99 S 1,364 D 51.75 I By Susan K. DeWyngaert
1998 Spouse CRUT dated
October 27, 1998
04/12/99 S 455 D 52.13 I By Susan K. DeWyngaert
1998 Spouse CRUT dated
October 27, 1998
04/13/99 S 909 D 52.63 I By Susan K. DeWyngaert
1998 Spouse CRUT dated
October 27, 1998<PAGE>
6. Owner-
5. Amount of ship Form:
Securities Direct
2. Trans- Beneficially (D) or
1. Title of action Date 3. Trans- 4. Securities Acquired Owned at End Indirect 7. Nature of Indirect
Security (Month/ action 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
---- - ------ -------- -----
04/13/99 S 1,819 D 52.75 I By Susan K. DeWyngaert
1998 Spouse CRUT dated
October 27, 1998
04/13/99 S 455 D 53.00 I By Susan K. DeWyngaert
1998 Spouse CRUT dated
October 27, 1998
04/13/99 S 1,364 D 52.88 I By Susan K. DeWyngaert
1998 Spouse CRUT dated
October 27, 1998
04/13/99 S 909 D 53.06 I By Susan K. DeWyngaert
1998 Spouse CRUT dated
October 27, 1998
04/13/99 S 1,363 D 53.25 I By Susan K. DeWyngaert
1998 Spouse CRUT dated
October 27, 1998
04/13/99 S 909 D 53.75 I By Susan K. DeWyngaert
1998 Spouse CRUT dated
October 27, 1998
04/13/99 S 1,363 D 53.88 I By Susan K. DeWyngaert
1998 Spouse CRUT dated
October 27, 1998
04/14/99 S 2,287 D 55.23 0 (3) I By Susan K. DeWyngaert
1998 Spouse CRUT dated
October 27, 1998
04/09/99 S 21,706 D 47.84 I By Pamela K. Vitale 1998
Spouse CRUT dated
October 27, 1998
04/12/99 S 1,363 D 51.75 I By Pamela K. Vitale 1998
Spouse CRUT dated
October 27, 1998
<PAGE>
6. Owner-
5. Amount of ship Form:
Securities Direct
2. Trans- Beneficially (D) or
1. Title of action Date 3. Trans- 4. Securities Acquired Owned at End Indirect 7. Nature of Indirect
Security (Month/ action 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
---- - ------ -------- -----
04/12/99 S 455 D 52.13 I By Pamela K. Vitale 1998
Spouse CRUT dated
October 27, 1998
04/13/99 S 322 D 52.63 0 (4) I By Pamela K. Vitale 1998
Spouse CRUT dated
October 27, 1998
04/01/99 S 2,115 D 43.50 I By Liese A. Keon 1998
CRUT dated October 27,
1998
04/01/99 S 192 D 43.56 I By Liese A. Keon 1998
CRUT dated October 27,
1998
04/05/99 S 1,154 D 43.88 I By Liese A. Keon 1998
CRUT dated October 27,
1998
04/05/99 S 769 D 44.00 I By Liese A. Keon 1998
CRUT dated October 27,
1998
04/05/99 S 770 D 44.13 I By Liese A. Keon 1998
CRUT dated October 27,
1998
04/09/99 S 21,707 D 47.84 I By Liese A. Keon 1998
CRUT dated October 27,
1998
04/14/99 S 3,011 D 55.23 94,128 (5) I By Liese A. Keon 1998
CRUT dated October 27,
1998
04/01/99 S 2,116 D 43.50 D (6)
04/01/99 S 192 D 43.56 D (6)
04/05/99 S 1,154 D 43.88 D (6)
04/05/99 S 769 D 44.00 D (6)
<PAGE>
6. Owner-
5. Amount of ship Form:
Securities Direct
2. Trans- Beneficially (D) or
1. Title of action Date 3. Trans- 4. Securities Acquired Owned at End Indirect 7. Nature of Indirect
Security (Month/ action 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
---- - ------ -------- -----
04/05/99 S 770 D 44.13 D (6)
04/13/99 S 587 D 52.63 D (6)
04/13/99 S 1,818 D 52.75 D (6)
04/13/99 S 455 D 53.00 D (6)
04/13/99 S 1,363 D 52.88 D (6)
04/13/99 S 909 D 53.06 D (6)
04/13/99 S 1,364 D 53.25 D (6)
04/13/99 S 909 D 53.75 D (6)
04/13/99 S 1,364 D 53.88 D (6)
04/14/99 S 2,288 D 55.23 0 (6) D
04/12/99 S 1,364 D 51.75 D (7)
04/12/99 S 454 D 52.13 D (7)
04/13/99 S 909 D 52.63 D (7)
04/13/99 S 1,818 D 52.75 D (7)
04/13/99 S 455 D 53.00 D (7)
04/13/99 S 1,364 D 52.88 D (7)
04/13/99 S 909 D 53.06 D (7)
04/13/99 S 1,364 D 53.25 D (7)
04/13/99 S 909 D 53.75 D (7)
04/13/99 S 1,363 D 53.88 D (7)
04/14/99 S 5,149 D 55.23 0 (7) D
04/12/99 S 1,363 D 51.75 D (8)
<PAGE>
6. Owner-
5. Amount of ship Form:
Securities Direct
2. Trans- Beneficially (D) or
1. Title of action Date 3. Trans- 4. Securities Acquired Owned at End Indirect 7. Nature of Indirect
Security (Month/ action 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
---- - ------ -------- -----
04/12/99 S 455 D 52.13 D (8)
04/13/99 S 909 D 52.63 D (8)
04/13/99 S 1,818 D 52.75 D (8)
04/13/99 S 454 D 53.00 D (8)
04/13/99 S 1,364 D 52.88 D (8)
04/13/99 S 909 D 53.06 D (8)
04/13/99 S 1,364 D 53.25 D (8)
04/13/99 S 909 D 53.75 D (8)
04/13/99 S 1,364 D 53.88 D (8)
04/13/99 S 5,149 D 55.23 0 (8) D
04/05/99 S 1,154 D 43.88 I By Katherine S. Keon
Holdback Trust under the
Margaret L. Keon 1993
Grantor Retained Annuity
Trust
04/05/99 S 769 D 44.00 I By Katherine S. Keon
Holdback Trust under the
Margaret L. Keon 1993
Grantor Retained Annuity
Trust
04/05/99 S 769 D 44.13 I By Katherine S. Keon
Holdback Trust under the
Margaret L. Keon 1993
Grantor Retained Annuity
Trust
04/09/99 S 13,365 D 47.84 0 (9) I By Katherine S. Keon
Holdback Trust under the
Margaret L. Keon 1993
Grantor Retained Annuity
Trust
<PAGE>
6. Owner-
5. Amount of ship Form:
Securities Direct
2. Trans- Beneficially (D) or
1. Title of action Date 3. Trans- 4. Securities Acquired Owned at End Indirect 7. Nature of Indirect
Security (Month/ action 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
---- - ------ -------- -----
75,037 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of Susan
Tamara Keon DeWyngaert
dated April 20, 1990
75,037 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Joseph John Keon III
dated April 20, 1990
75,037 I By Margaret L, Keon 1990
Personal Income Trust
for the benefit of
Katherine Stoddert Keon
dated April 20, 1990
75,037 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of Lisa
Anne Keon dated
April 20, 1990
75,037 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Margaret Lynley Keon
Vitale dated April 20,
1990
75,037 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Pamela Keon Vitale dated
April 20, 1990
506,461 I By Margaret Lumpkin Keon
Trust dated May 13, 1978
/TABLE
<PAGE>
Table II -- Derivative Securities Acquired,
Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
<TABLE>
<CAPTION>
10.
9. Owner-
5. Number ship
Number of Deri- Form of
2. of Deri- vative Deriva- 11.
1. Conver- vative 6. Securi- tive Nature
Title sion or Securi- Date ties Secur- of In-
of Exer- 3. ties Exer- Benefici- ity: direct
Deriva- cise Trans- Acquired cisable 7. ally Direct Benefi-
tive Price action 4. (A) or and Title and 8. Owned at (D) or cial
Secur- of Date Trans- Disposed Expir- Amount of Price of End of Indirect Owner-
ity Deri- (Month/ action of (D) ation Underlying Derivative Month (I) ship
(Instr. vative Day/ Code (Instr. 3, Date (Month/ Securities Security (Instr. (Instr. (Instr.
3) Security Year) (Instr. 8) 4 & 5) Day/Year) (Instr. 3 & 4) (Instr. 5) 4) 4) 4)
------- -------- ------- ---------- ---------- ------------ -------------- ---------- --------- ------- -------
Code V (A) (D) Date Expir- Title Amount or
---- - --- --- Exer- ation ----- Number of
cisable Date Shares
------- ------ ---------
<S> <C> <C> <C> <C><C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
</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 are not subject to Mr.
Keon's agreement with the other members of the 13(d) group
referred to in Item 6 of the cover page of this Form 4.
(2) Beneficially owned for purposes of Rule 16a-1(a)(2) by
Margaret Lynley Keon. These shares are not subject to Ms.
Keon's agreement with the other members of the 13(d) group
referred to in Item 6 of the cover page of this Form 4.
(3) Beneficially owned for purposes of Rule 16a-1(a)(2) by Susan
K. DeWyngaert. These shares are not subject to Ms.
DeWyngaert's agreement with the other members of the 13(d)
group referred to in Item 6 of the cover page of this Form
4.<PAGE>
(4) Beneficially owned for purposes of Rule 16a-1(a)(2) by
Pamela K. Vitale. These shares are not subject to Ms.
Vitale's agreement with the other members of the 13(d) group
referred to in Item 6 of the cover page of this Form 4.
(5) Beneficially owned for purposes of Rule 16a-1(a)(2) by Liese
A. Keon. These shares are not subject to Ms. Keon's
agreement with the other members of the 13(d) group referred
to in Item 6 of the cover page of this Form 4.
(6) Beneficially owned for purposes of Rule 16a-1(a)(2) by
Pamela K. Vitale.
(7) Beneficially owned for purposes of Rule 16a-1(a)(2) by Liese
A. Keon.
(8) Beneficially owned for purposes of Rule 16a-1(a)(2) by
Margaret Lynley Keon.
(9) Beneficially owned for purposes of Rule 16a-1(a)(2) by
Joseph J. Keon III and Pamela K. Vitale.
SIGNATURE OF REPORTING PERSON(S):
Margaret L. Keon
By: Steven L. Grissom
Attorney in Fact
Dated: May 6, 1999
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: April 1999
Signature: Joseph J. Keon III
By: Steven L. Grissom
Attorney in Fact<PAGE>
JOINT FILER INFORMATION
Name: Pamela K. Vitale (formerly Pamela Ryan Keon)
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: April 1999
Signature: Pamela K. Vitale
By: Steven L. Grissom
Attorney in Fact
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: April 1999
Signature: Liese A. Keon
By: Steven L. Grissom
Attorney in Fact
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: April 1999<PAGE>
Signature: Susan T. DeWyngaert
By: Steven L. Grissom
Attorney in Fact
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: April 1999
Signature: Margaret Lynley Keon
By: Steven L. Grissom
Attorney in Fact
DATED: May 6, 1999
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