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Previous: AMERICAN DIVERSIFIED GROUP INC, 8-K, 2000-01-10 |
Next: LABORATORY CORP OF AMERICA HOLDINGS, S-8, 2000-01-10 |
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:
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:
December 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
Table I -- Non-Derivative Securities Acquired,
Disposed of, or Beneficially Owned
<TABLE>
<CAPTION>
6. Owner-
5. Amount of ship
2. Trans- Securities Form: 7. Nature of
action 4. Securities Acquired (A) Beneficially Direct (D) Indirect
1. Title of Date 3. Trans- or Owned at End or In- Beneficial
Security (Month/ action Code Disposed of (D) of Month direct (I) 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 12/10/99 M 1,000 A $12.25 D (1)
Common
Shares
12/10/99 S 1,000 D 47.00 D (1)
12/13/99 M 1,000 A 12.25 D (1)
12/13/99 S 1,000 D 53.06 D (1)
12/16/99 M 1,000 A 12.25 D (1)
12/16/99 S 1,000 D 54.63 D (1)
12/16/99 M 1,000 A 12.25 D (1)
12/16/99 S 1,000 D 55.25 D (1)
12/16/99 M 1,000 A 12.25 D (1)
12/16/99 S 1,000 D 57.94 D (1)
12/16/99 M 1,000 A 12.25 D (1)
12/16/99 S 1,000 D 58.81 D (1)
12/17/99 M 1,000 A 12.25 D (1)
12/17/99 S 1,000 D 60.63 D (1)
12/22/99 M 1,000 A 12.25 D (1)
12/22/99 S 1,000 D 61.00 D (1)
12/23/99 M 500 A 12.25 D (1)
12/23/99 S 500 D 62.00 D (1)
6. Owner-
5. Amount of ship
2. Trans- Securities Form: 7. Nature of
action 4. Securities Acquired (A) Beneficially Direct (D) Indirect
1. Title of Date 3. Trans- or Owned at End or In- Beneficial
Security (Month/ action Code Disposed of (D) of Month direct (I) 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
---- - ------ -------- -----
12/29/99 M 1,200 A 12.125 D (1)
12/31/99 M 2,500 A 14.875 6,012 D (1)
131,832 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of John
Woodruff Sparks dated
April 20, 1990
131,832 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of Anne
Romayne Sparks dated
April 20, 1990
131,832 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of
Barbara Lee Sparks
dated April 20, 1990
131,832 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of
Christina Louise Sparks
dated April 20, 1990
393,356 D
664,418 I By Trust Agreement
dated May 13, 1978
f/b/o Mary Lee Sparks
</TABLE>
Table II -- Derivative Securities Acquired,
Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
<TABLE>
<CAPTION>
10.
9. Owner-
Number ship
2. 5. of Form of
Conver- Number Deri- Deriva-
sion of Deri- 6. vative tive 11.
or vative Date 8. Securi- Secur- Nature
1. Exer- Secur- Exer- 7. Price ties ity: of In-
Title cise 3. ities cisable Title of Benefi- Direct direct
of Price Trans- 4. Acquired and and Deriva- cially (D) Bene-
Deriva- of action Trans- (A) or Expir- Amount of tive Owned at or In- ficial
tive Deri- Date action Disposed ation Underlying Secur- End of direct Owner-
Secur- vative (Month/ Code of (D) Date Securities ity Month (I) ship
ity Secur- Day/ (Instr. (Instr. 3, (Month/ (Instr. 3 (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) 8) 4 & 5) Day/Year) & 4) 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>
Employee $12.25 12/10/99 M 1,000 (1) 09/24/07 Class A D
Stock Common
Option Stock
(right to
buy) (1)
Employee 12.25 12/13/99 M 1,000 (1) 09/24/07 Class A D
Stock Common
Option Stock
(right to
buy) (1)
Employee 12.25 12/16/99 M 1,000 (1) 09/24/07 Class A D
Stock Common
Option Stock
(right to
buy) (1)
Employee 12.25 12/16/99 M 1,000 (1) 09/24/07 Class A D
Stock Common
Option Stock
(right to
buy) (1)
Employee 12.25 12/16/99 M 1,000 (1) 09/24/07 Class A D
Stock Common
Option Stock
(right to
buy) (1)
10.
9. Owner-
Number ship
2. 5. of Form of
Conver- Number Deri- Deriva-
sion of Deri- 6. vative tive 11.
or vative Date 8. Securi- Secur- Nature
1. Exer- Secur- Exer- 7. Price ties ity: of In-
Title cise 3. ities cisable Title of Benefi- Direct direct
of Price Trans- 4. Acquired and and Deriva- cially (D) Bene-
Deriva- of action Trans- (A) or Expir- Amount of tive Owned at or In- ficial
tive Deri- Date action Disposed ation Underlying Secur- End of direct Owner-
Secur- vative (Month/ Code of (D) Date Securities ity Month (I) ship
ity Secur- Day/ (Instr. (Instr. 3, (Month/ (Instr. 3 (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) 8) 4 & 5) Day/Year) & 4) 5) 4) 4) 4)
---------- ------ ------- ------ --------- --------- ---------- ------- ------- ------- ------
Code V A D Date Expir- Title Amount or
---- - - - Exer- ation ----- Number of
cisable Date Shares
------- ------ ---------
Employee 12.25 12/16/99 M 1,000 (1) 09/24/07 Class A D
Stock Common
Option Stock
(right to
buy) (1)
Employee 12.25 12/17/99 M 1,000 (1) 09/24/07 Class A D
Stock Common
Option Stock
(right to
buy) (1)
Employee 12.25 12/22/99 M 1,000 (1) 09/24/07 Class A D
Stock Common
Option Stock
(right to
buy) (1)
Employee 12.25 12/23/99 M 500 (1) 09/24/07 Class A 43,000 34,500 D
Stock Common
Option Stock
(right to
buy) (1)
Employee 12.125 12/29/99 M 1,200 (2) 10/12/08 Class A 8,700 7,500 D
Stock Common
Option Stock
(right to
buy) (2)
10.
9. Owner-
Number ship
2. 5. of Form of
Conver- Number Deri- Deriva-
sion of Deri- 6. vative tive 11.
or vative Date 8. Securi- Secur- Nature
1. Exer- Secur- Exer- 7. Price ties ity: of In-
Title cise 3. ities cisable Title of Benefi- Direct direct
of Price Trans- 4. Acquired and and Deriva- cially (D) Bene-
Deriva- of action Trans- (A) or Expir- Amount of tive Owned at or In- ficial
tive Deri- Date action Disposed ation Underlying Secur- End of direct Owner-
Secur- vative (Month/ Code of (D) Date Securities ity Month (I) ship
ity Secur- Day/ (Instr. (Instr. 3, (Month/ (Instr. 3 (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) 8) 4 & 5) Day/Year) & 4) 5) 4) 4) 4)
---------- ------ ------- ------ --------- --------- ---------- ------- ------- ------- ------
Code V A D Date Expir- Title Amount or
---- - - - Exer- ation ----- Number of
cisable Date Shares
------- ------ ---------
Employee 14.875 12/31/99 M 2,500 (3) 12/31/08 Class A 10,000 7,500 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 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 the other joint filer.
(1) Beneficially owned for purposes of Rule 16a-1(a)(2) by
Steven L. Grissom. These shares are not subject to Mr.
Grissom's agreement with the other members of the 13(d)
group referred to in Item 6 of the cover page of this Form
4.
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.
(2) The employee stock option dated 12/22/97 vests in four equal
annual installments which began 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
Individually and as trustee of
the Mary Lee Sparks Trust, dated
May 13, 1978
By: Steven L. Grissom
Attorney in Fact
Dated: January 7, 2000
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: December 1999
Signature: Steven L. Grissom
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