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Previous: MCLEODUSA INC, 4, 1999-05-06 |
Next: MCLEODUSA INC, 4, 1999-05-06 |
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:
April 1999
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 I -- Non-Derivative Securities Acquired,
Disposed of, or Beneficially Owned
<TABLE>
<CAPTION>
5. Amount of 6. Owner-
2. Trans- Securities ship Form:
action Beneficially Direct (D) or
1. Title of 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 2,115 D 43.50 I By Benjamin I. Lumpkin
Common Stock 1998 NIM-CRUT dated
October 27, 1998
04/01/99 S 193 D 43.56 I By Benjamin I. Lumpkin
1998 NIM-CRUT dated
October 27, 1998
04/05/99 S 1,153 D 43.88 I By Benjamin I. Lumpkin
1998 NIM-CRUT dated
October 27, 1998
04/05/99 S 770 D 44.00 I By Benjamin I. Lumpkin
1998 NIM-CRUT dated
October 27, 1998
04/05/99 S 769 D 44.13 I By Benjamin I. Lumpkin
1998 NIM-CRUT dated
October 27, 1998
04/09/99 S 18,846 D 47.84 0 (1) I By Benjamin I. Lumpkin
1998 NIM-CRUT dated
October 27, 1998
04/01/99 S 2,115 D 43.50 I By Elizabeth L. Celio
1998 NIM-CRUT dated
October 27, 1998
04/01/99 S 193 D 43.56 I By Elizabeth L. Celio
1998 NIM-CRUT dated
October 27, 1998
04/05/99 S 1,154 D 43.88 I By Elizabeth L. Celio
1998 NIM-CRUT dated
October 27, 1998
04/05/99 S 769 D 44.00 I By Elizabeth L. Celio
1998 NIM-CRUT dated
October 27, 1998<PAGE>
5. Amount of 6. Owner-
2. Trans- Securities ship Form:
action Beneficially Direct (D) or
1. Title of 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 769 D 44.13 I By Elizabeth L. Celio
1998 NIM-CRUT dated
October 27, 1998
04/09/99 S 18,846 D 47.84 0 (2) I By Elizabeth L. Celio
1998 NIM-CRUT dated
October 27, 1998
04/12/99 S 1,363 D 51.75 I By Benjamin Iverson
Lumpkin Holdback Trust
under Richard Anthony
Lumpkin 1993 Grantor
Retained Annuity Trust
04/12/99 S 455 D 52.13 I By Benjamin Iverson
Lumpkin Holdback Trust
under Richard Anthony
Lumpkin 1993 Grantor
Retained Annuity Trust
04/13/99 S 909 D 52.63 I By Benjamin Iverson
Lumpkin Holdback Trust
under Richard Anthony
Lumpkin 1993 Grantor
Retained Annuity Trust
04/13/99 S 1,818 D 52.75 I By Benjamin Iverson
Lumpkin Holdback Trust
under Richard Anthony
Lumpkin 1993 Grantor
Retained Annuity Trust
04/13/99 S 454 D 53.00 I By Benjamin Iverson
Lumpkin Holdback Trust
under Richard Anthony
Lumpkin 1993 Grantor
Retained Annuity Trust
04/13/99 S 1,364 D 52.88 I By Benjamin Iverson
Lumpkin Holdback Trust
under Richard Anthony
Lumpkin 1993 Grantor
Retained Annuity Trust<PAGE>
5. Amount of 6. Owner-
2. Trans- Securities ship Form:
action Beneficially Direct (D) or
1. Title of 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 909 D 53.06 I By Benjamin Iverson
Lumpkin Holdback Trust
under Richard Anthony
Lumpkin 1993 Grantor
Retained Annuity Trust
04/13/99 S 1,364 D 53.25 I By Benjamin Iverson
Lumpkin Holdback Trust
under Richard Anthony
Lumpkin 1993 Grantor
Retained Annuity Trust
04/13/99 S 909 D 53.75 I By Benjamin Iverson
Lumpkin Holdback Trust
under Richard Anthony
Lumpkin 1993 Grantor
Retained Annuity Trust
04/13/99 S 1,364 D 53.88 I By Benjamin Iverson
Lumpkin Holdback Trust
under Richard Anthony
Lumpkin 1993 Grantor
Retained Annuity Trust
04/14/99 S 8,158 D 55.23 29,261 (3) I By Benjamin Iverson
Lumpkin Holdback Trust
under Richard Anthony
Lumpkin 1993 Grantor
Retained Annuity Trust
04/12/99 S 1,364 D 51.75 I By Elizabeth A. Lumpkin
Holdback Trust under
Richard Anthony Lumpkin
1993 Grantor Retained
Annuity Trust
04/12/99 S 454 D 52.13 I By Elizabeth A. Lumpkin
Holdback Trust under
Richard Anthony Lumpkin
1993 Grantor Retained
Annuity Trust<PAGE>
5. Amount of 6. Owner-
2. Trans- Securities ship Form:
action Beneficially Direct (D) or
1. Title of 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 909 D 52.63 I By Elizabeth A. Lumpkin
Holdback Trust under
Richard Anthony Lumpkin
1993 Grantor Retained
Annuity Trust
04/13/99 S 1,819 D 52.75 I By Elizabeth A. Lumpkin
Holdback Trust under
Richard Anthony Lumpkin
1993 Grantor Retained
Annuity Trust
04/13/99 S 454 D 53.00 I By Elizabeth A. Lumpkin
Holdback Trust under
Richard Anthony Lumpkin
1993 Grantor Retained
Annuity Trust
04/13/99 S 1,364 D 52.88 I By Elizabeth A. Lumpkin
Holdback Trust under
Richard Anthony Lumpkin
1993 Grantor Retained
Annuity Trust
04/13/99 S 909 D 53.06 I By Elizabeth A. Lumpkin
Holdback Trust under
Richard Anthony Lumpkin
1993 Grantor Retained
Annuity Trust
04/13/99 S 1,363 D 53.25 I By Elizabeth A. Lumpkin
Holdback Trust under
Richard Anthony Lumpkin
1993 Grantor Retained
Annuity Trust
04/13/99 S 909 D 53.75 I By Elizabeth A. Lumpkin
Holdback Trust under
Richard Anthony Lumpkin
1993 Grantor Retained
Annuity Trust<PAGE>
5. Amount of 6. Owner-
2. Trans- Securities ship Form:
action Beneficially Direct (D) or
1. Title of 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 1,364 D 53.88 I By Elizabeth A. Lumpkin
Holdback Trust under
Richard Anthony Lumpkin
1993 Grantor Retained
Annuity Trust
04/14/99 S 8,161 D 55.23 29,258 (3) I By Elizabeth A. Lumpkin
Holdback Trust under
Richard Anthony Lumpkin
1993 Grantor Retained
Annuity Trust
724,601 (4) I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin dated
April 20, 1990
150,224 (4) I By Mary Lee Sparks 1990
Personal Income Trust for
the Benefit of John
Woodruff Sparks dated
April 20, 1990
75,037 (4) I By Margaret L. Keon 1990
Personal Income Trust for
the Benefit of Susan
Tamara Keon DeWyngaert
dated April 20, 1990
724,601 (4) I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Benjamin
Iverson Lumpkin dated
April 20, 1990
150,224 (4) I By Mary Lee Sparks 1990
Personal Income Trust for
the Benefit of Anne
Romayne Sparks dated
April 20, 1990<PAGE>
5. Amount of 6. Owner-
2. Trans- Securities ship Form:
action Beneficially Direct (D) or
1. Title of 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
---- - ------ -------- -----
150,224 (4) I By Mary Lee Sparks 1990
Personal Income Trust for
the Benefit of Barbara
Lee Sparks dated
April 20, 1990
150,224 (4) I By Mary Lee Sparks 1990
Personal Income Trust for
the Benefit of Christina
Louise Sparks dated
April 20, 1990
75,037 (4) I By Margaret L. Keon 1990
Personal Income Trust for
the Benefit of Joseph
John Keon III dated
April 20, 1990
75,037 (4) I By Margaret L. Keon 1990
Personal Income Trust for
the Benefit of Katherine
Stoddert Keon dated
April 20, 1990
75,037 (4) I By Margaret L. Keon 1990
Personal Income Trust for
the Benefit of Lisa Anne
Keon dated April 20, 1990
75,037 (4) I By Margaret L. Keon 1990
Personal Income Trust for
the Benefit of Margaret
Lynley Keon dated
April 20, 1990
75,037 (4) I By Margaret L. Keon 1990
Personal Income Trust for
the Benefit of Pamela
Keon Vitale dated
April 20, 1990<PAGE>
5. Amount of 6. Owner-
2. Trans- Securities ship Form:
action Beneficially Direct (D) or
1. Title of 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
---- - ------ -------- -----
54,688 I By Richard Adamson
Lumpkin Grandchildren's
Trust dated 9/5/80 f/b/o
Benjamin Iverson Lumpkin
54,688 I By Richard Adamson
Lumpkin Grandchildren's
Trust dated 9/5/80 f/b/o
Elizabeth Arabella
Lumpkin
308,965 I By Trust named for
Benjamin Iverson Lumpkin
created under the Mary
Green Lumpkin Gallo Trust
Agreement dated
December 29, 1989
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 (5) D
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 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-
1. Conver- vative 6. Securi- tive 11.
Title sion or Securi- Date ties Secur- Nature
of Exer- 3. ties Exer- Benefici- ity: of In-
Deriva- cise Trans- Acquired cisable 7. ally Direct direct
tive Price action 4. (A) or and Title and 8. Owned at (D) or Benefi-
Secur- of Date Trans- Disposed Expir- Amount of Price of End of Indirect cial
ity Deri- (Month/ action of (D) ation Underlying Derivative Month (I) Owner-
(Instr. vative Day/ Code (Instr. 3, Date (Month/ Securities Security (Instr. (Instr. ship
3) Security Year) (Instr. 8) 4 & 5) Day/Year) (Instr. 3 & 4) (Instr. 5) 4) 4) (Instr. 4)
------- -------- ------- -------------------- ------------ -------------- ---------- -------- -------- ---------
Code V (A) (D) Date Expir- Title Amount or
---- - --- --- Exer- ation ----- Number of
cis- Date Shares
able ------ ---------
-----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Employee $35.25 (1) 09/25/07Class A 40,000 40,000 D
Stock Common
Option Stock
(right
to buy)
(1)
Employee $34.50 (2) 12/22/07Class A 5,000 5,000 D
Stock Common
Option Stock
(right
to buy)
(2)
Employee $29.75 (3) 12/31/08Class A 40,000 40,000 D
Stock Common
Option Stock
(right
to buy)
(3)
</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<PAGE>
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 are not subject to Mr.
Lumpkin'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
Elizabeth L. Celio. These shares are not subject to Ms.
Celio'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
Benjamin I. Lumpkin and Elizabeth L. Celio.
(4) On or about November 23, 1998 the trustees of the 1990
Personal Income Trust named Richard A. Lumpkin as agent with
respect to sales of these shares.
(5) Beneficially owned for purposes of Rule 16a-1(a)(2) by Gail
Gawthrop Lumpkin and Richard A. Lumpkin.
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 which began on December 22, 1998.
(3) The employee stock option dated December 31, 1998 vests in
four equal annual installments beginning on December 31,
1999.
SIGNATURE OF REPORTING PERSON:
Richard A. Lumpkin
By: Steven L. Grissom
Attorney in Fact
DATE: May 6, 1999<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: April 1999
Signature: Gail Gawthrop Lumpkin
By: Steven L. Grissom
Attorney in Fact
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: April 1999
Signature: Benjamin I. Lumpkin
By: Steven L. Grissom
Attorney in Fact
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: April 1999
Signature: Elizabeth L. Celio
By: Steven L. Grissom
Attorney in Fact
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