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Previous: MCLEODUSA INC, 4, 1999-05-06 |
Next: FORE SYSTEMS INC /DE/, 3, 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:
Mary Lee Sparks
2438 Campbell Road, N.W.
Albuquerque, New Mexico 87104
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:
2. Trans- Securities Direct
action Beneficially (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 2,116 D 43.50 I By Barbara S. Federico
Common Stock 1998 Spouse CRUT dated
October 27, 1998
04/01/99 S 192 D 43.56 I By Barbara S. Federico
1998 Spouse CRUT dated
October 27, 1998
04/05/99 S 1,154 D 43.88 I By Barbara S. Federico
1998 Spouse CRUT dated
October 27, 1998
04/05/99 S 769 D 44.00 I By Barbara S. Federico
1998 Spouse CRUT dated
October 27, 1998
04/05/99 S 769 D 44.13 I By Barbara S. Federico
1998 Spouse CRUT dated
October 27, 1998
04/09/99 S 21,707 D 47.84 I By Barbara S. Federico
1998 Spouse CRUT dated
October 27, 1998
04/13/99 S 910 D 52.625 I By Barbara S. Federico
1998 Spouse CRUT dated
October 27, 1998
04/14/99 S 8,160 D 55.23 138,069 (1) I By Barbara S. Federico
1998 Spouse CRUT dated
October 27, 1998
04/01/99 S 2,116 D 43.50 I By Anne S. Whitten 1998
Spouse NIM-CRUT dated
October 27, 1998
04/01/99 S 192 D 43.56 I By Anne S. Whitten 1998
Spouse NIM-CRUT dated
October 27, 1998<PAGE>
6. Owner-
5. Amount of ship Form:
2. Trans- Securities Direct
action Beneficially (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 1,154 D 43.88 I By Anne S. Whitten 1998
Spouse NIM-CRUT dated
October 27, 1998
04/05/99 S 770 D 44.00 I By Anne S. Whitten 1998
Spouse NIM-CRUT dated
October 27, 1998
04/05/99 S 769 D 44.13 I By Anne S. Whitten 1998
Spouse NIM-CRUT dated
October 27, 1998
04/09/99 S 21,707 D 47.84 I By Anne S. Whitten 1998
Spouse NIM-CRUT dated
October 27, 1998
04/12/99 S 1,364 D 51.75 I By Anne S. Whitten 1998
Spouse NIM-CRUT dated
October 27, 1998
04/12/99 S 454 D 52.13 I By Anne S. Whitten 1998
Spouse NIM-CRUT dated
October 27, 1998
04/13/99 S 909 D 52.63 I By Anne S. Whitten 1998
Spouse NIM-CRUT dated
October 27, 1998
04/13/99 S 1,818 D 52.75 I By Anne S. Whitten 1998
Spouse NIM-CRUT dated
October 27, 1998
04/13/99 S 455 D 53.00 I By Anne S. Whitten 1998
Spouse NIM-CRUT dated
October 27, 1998
04/13/99 S 1,363 D 52.88 I By Anne S. Whitten 1998
Spouse NIM-CRUT dated
October 27, 1998
04/13/99 S 909 D 53.06 I By Anne S. Whitten 1998
Spouse NIM-CRUT dated
October 27, 1998<PAGE>
6. Owner-
5. Amount of ship Form:
2. Trans- Securities Direct
action Beneficially (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 53.25 I By Anne S. Whitten 1998
Spouse NIM-CRUT dated
October 27, 1998
04/13/99 S 909 D 53.75 I By Anne S. Whitten 1998
Spouse NIM-CRUT dated
October 27, 1998
04/13/99 S 1,364 D 53.88 I By Anne S. Whitten 1998
Spouse NIM-CRUT dated
October 27, 1998
04/14/99 S 8,159 D 55.23 98,070 (2) I By Anne S. Whitten 1998
Spouse NIM-CRUT dated
October 27, 1998
04/09/99 S 16,706 D 47.84 I By Christina S. Duncan
1998 Spouse CRUT dated
October 27, 1998
04/12/99 S 1,364 D 51.75 I By Christina S. Duncan
1998 Spouse CRUT dated
October 27, 1998
04/12/99 S 454 D 52.13 I By Christina S. Duncan
1998 Spouse CRUT dated
October 27, 1998
04/13/99 S 909 D 52.63 I By Christina S. Duncan
1998 Spouse CRUT dated
October 27, 1998
04/13/99 S 1,818 D 52.75 I By Christina S. Duncan
1998 Spouse CRUT dated
October 27, 1998
04/13/99 S 455 D 53.00 I By Christina S. Duncan
1998 Spouse CRUT dated
October 27, 1998
04/13/99 S 1,364 D 52.88 I By Christina S. Duncan
1998 Spouse CRUT dated
October 27, 1998<PAGE>
6. Owner-
5. Amount of ship Form:
2. Trans- Securities Direct
action Beneficially (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 Christina S. Duncan
1998 Spouse CRUT dated
October 27, 1998
04/13/99 S 1,364 D 53.25 I By Christina S. Duncan
1998 Spouse CRUT dated
October 27, 1998
04/13/99 S 909 D 53.75 I By Christina S. Duncan
1998 Spouse CRUT dated
October 27, 1998
04/13/99 S 1,363 D 53.88 I By Christina S. Duncan
1998 Spouse CRUT dated
October 27, 1998
04/14/99 S 3,161 D 55.23 143,070 (3) I By Christina S. Duncan
1998 Spouse CRUT dated
October 27, 1998
04/13/99 S 909 D 52.63 I By John W. Sparks 1998
Spouse CRUT dated
October 27, 1998
04/13/99 S 1,818 D 52.75 I By John W. Sparks 1998
Spouse CRUT dated
October 27, 1998
04/13/99 S 455 D 53.00 I By John W. Sparks 1998
Spouse CRUT dated
October 27, 1998
04/13/99 S 1,363 D 52.88 I By John W. Sparks 1998
Spouse CRUT dated
October 27, 1998
04/13/99 S 910 D 53.06 I By John W. Sparks 1998
Spouse CRUT dated
October 27, 1998
04/13/99 S 1,363 D 53.25 I By John W. Sparks 1998
Spouse CRUT dated
October 27, 1998<PAGE>
6. Owner-
5. Amount of ship Form:
2. Trans- Securities Direct
action Beneficially (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 53.75 I By John W. Sparks 1998
Spouse CRUT dated
October 27, 1998
04/13/99 S 963 D 53.88 I By John W. Sparks 1998
Spouse CRUT dated
October 27, 1998
04/14/99 S 800 D 55.23 146,433 (4) I By John W. Sparks 1998
Spouse CRUT dated
October 27, 1998
04/01/99 S 2,115 D 43.50 I By John W. Sparks 1998
Spouse NIM-CRUT dated
October 27, 1998
04/01/99 S 193 D 43.56 I By John W. Sparks 1998
Spouse NIM-CRUT dated
October 27, 1998
04/05/99 S 1,154 D 43.88 I By John W. Sparks 1998
Spouse NIM-CRUT dated
October 27, 1998
04/05/99 S 769 D 44.00 I By John W. Sparks 1998
Spouse NIM-CRUT dated
October 27, 1998
04/05/99 S 769 D 44.13 I By John W. Sparks 1998
Spouse NIM-CRUT dated
October 27, 1998
04/09/99 S 16,705 D 47.84 I By John W. Sparks 1998
Spouse NIM-CRUT dated
October 27, 1998
04/12/99 S 1,363 D 51.75 I By John W. Sparks 1998
Spouse NIM-CRUT dated
October 27, 1998
04/12/99 S 455 D 52.13 I By John W. Sparks 1998
Spouse NIM-CRUT dated
October 27, 1998<PAGE>
6. Owner-
5. Amount of ship Form:
2. Trans- Securities Direct
action Beneficially (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 401 D 53.88 4,000 (4) I By John W. Sparks 1998
Spouse NIM-CRUT dated
October 27, 1998
04/09/99 S 5,000 D 47.84 D (5)
04/14/99 S 7,360 D 55.23 0 (5) D
04/12/99 S 1,364 D 51.75 D (6)
04/12/99 S 454 D 52.13 D (6)
04/13/99 S 1,818 D 52.75 D (6)
04/13/99 S 454 D 53.00 D (6)
04/13/99 S 1,364 D 52.88 D (6)
04/13/99 S 909 D 53.06 D (6)
04/13/99 S 1,363 D 53.25 D (6)
04/13/99 S 910 D 53.75 D (6)
04/13/99 S 1,364 D 53.88 12,360 (6) D
04/01/99 S 2,116 D 43.50 D (7)
04/01/99 S 192 D 43.56 D (7)
04/05/99 S 1,154 D 43.88 D (7)
04/05/99 S 769 D 44.00 D (7)
04/05/99 S 769 D 44.13 D (7)
04/09/99 S 5,000 D 47.84 D (7)
04/14/99 S 5,000 D 55.23 7,359 (7) D
2,359 (8) D <PAGE>
6. Owner-
5. Amount of ship Form:
2. Trans- Securities Direct
action Beneficially (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
---- - ------ -------- -----
196,678 D
150,224 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of John
Woodruff Sparks dated
April 20, 1990
150,224 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of Anne
Romayne Sparks dated
April 20, 1990
150,224 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of
Barbara Lee Sparks dated
April 20, 1990
150,224 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of
Christina Louise Sparks
dated April 20, 1990
332,209 I By Trust Agreement dated
May 13, 1978 f/b/o Mary
Lee Sparks
506 (9) D
</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
cis- Date Shares
able ------ ---------
-----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Employee $24.50 09/24/97 (1) 09/24/08 Class A 25,000 25,000 D
Stock Common
Option Stock
(right
to buy)
(1)
Employee 24.25 12/22/97 (2) 10/12/09 Class A 5,000 5,000 D
Stock Common
Option Stock
(right
to buy)
(2)
Employee 29.75 12/31/98 (3) 12/31/08 Class A 5,000 5,000 D
Stock Common
Option Stock
(right
to buy)
(2)
Call 55.00 04/13/99 S 5 04/13/9910/16/99 Class A 500 $7.50 0 D
Option Common
(Obliga- Stock
tion to
Sell)
</TABLE>
<PAGE>
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 Mary Lee Sparks and not by any of the other joint
filers.
(1) Beneficially owned for purposes of Rule 16a-1(a)(2) by
Barbara S. Federico. These shares are not subject to Ms.
Federico'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 Anne
S. Whitten. These shares are not subject to Ms. Whitten'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
Christina S. Duncan. These shares are not subject to Ms.
Duncan's agreement with the other members of the 13(d) group
referred to in Item 6 of the cover page of this Form 4.
(4) Beneficially owned for purposes of Rule 16a-1(a)(2) by John
W. Sparks. These shares are not subject to Mr. Sparks'
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 John
W. Sparks.
(6) Beneficially owned for purposes of Rule 16a-1(a)(2) by
Barbara S. Federico.
(7) Beneficially owned for purposes of Rule 16a-1(a)(2) by
Christina S. Duncan
(8) Beneficially owned for purposes of Rule 16a-1(a)(2) by Anne
S. Whitten.
(9) Beneficially owned for purposes of Rule 16a-1(a)(2) by
Steven L. Grissom.
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 Steven L. Grissom.
(1) The employee stock option dated 9/24/97 vests in four equal
annual installments which began on September 24, 1998.<PAGE>
(2) The employee stock option dated 12/22/97 vests in four equal
annual installments beginning on October 12, 1999.
(3) The employee stock option dated 12/31/98 vests in four equal
annual installments beginning on December 31, 1999.
SIGNATURE OF REPORTING PERSON:
Mary Lee Sparks
By: Steven L. Grissom
Attorney in Fact
Dated: May 6, 1999<PAGE>
JOINT FILER INFORMATION
Name: Steven L. Grissom
Address: 121 South 17th Street, Mattoon, Illinois 61938
Designated Filer: Mary Lee Sparks
Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD
Statement for Month/Year: April 1999
Signature: Steven L. Grissom
JOINT FILER INFORMATION
Name: Anne S. Whitten
Address: 38 Goodhue Road, Windham, New Hampshire 03087
Designated Filer: Mary Lee Sparks
Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD
Statement for Month/Year: April 1999
Signature: Anne S. Whitten
By: Steven L. Grissom
Attorney in Fact
JOINT FILER INFORMATION
Name: Barbara S. Federico
Address: 4840 Ashville Bay Road, Ashville, New York 14710
Designated Filer: Mary Lee Sparks
Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD
Statement for Month/Year: April 1999
Signature: Barbara S. Federico
By: Steven L. Grissom
Attorney in Fact<PAGE>
JOINT FILER INFORMATION
Name: Christina S. Duncan (aka Christina L. Duncan)
Address: 194 North Bald Hill Road, New Canaan, Connecticut 06840
Designated Filer: Mary Lee Sparks
Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD
Statement for Month/Year: April 1999
Signature: Christina S. Duncan
By: Steven L. Grissom
Attorney in Fact
JOINT FILER INFORMATION
Name: John W. Sparks
Address: 229 Saavedra, S.W., Albuquerque, New Mexico 87105
Designated Filer: Mary Lee Sparks
Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD
Statement for Month/Year: April 1999
Signature: John W. Sparks
By: Steven L. Grissom
Attorney in Fact
DATE: May 6, 1999
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