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Previous: MCLEODUSA INC, 4, 2000-03-10 |
Next: MCLEODUSA INC, 4, 2000-03-10 |
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:
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:
February 2000
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
Table I -- Non-Derivative Securities Acquired,
Disposed of, or Beneficially Owned
<TABLE>
<CAPTION>
5. Amount of 6. Owner-
2. Trans- Securities ship Form: 7. Nature
1. Title action 4. Securities Beneficially Direct (D) of Indirect
of Date 3. Trans- Acquired (A) or Owned at End or Indirect Beneficial
Security (Month / action Code Disposed of (D) of Month (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) Instr. 4) (Instr. 4)
---------- ---------- ---------- -------------------- ---------------- ----------- -----------
Code V Amount (A)or(D) Price
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Class A 02/01/00 S 3,330 D $70.14 I By Richard Anthony
Common Stock Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin dated
April 20, 1990
02/02/00 S 2,985 D 70.05 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin dated
April 20, 1990
02/03/00 S 2,645 D 70.12 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin dated
April 20, 1990
02/04/00 S 4,380 D 71.40 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin dated
April 20, 1990
02/07/00 S 3,940 D 70.14 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin dated
April 20, 1990
5. Amount of 6. Owner-
2. Trans- Securities ship Form: 7. Nature
1. Title action 4. Securities Beneficially Direct (D) of Indirect
of Date 3. Trans- Acquired (A) or Owned at End or Indirect Beneficial
Security (Month / action Code Disposed of (D) of Month (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) Instr. 4) (Instr. 4)
---------- ---------- ---------- -------------------- ---------------- ----------- -----------
Code V Amount (A)or(D) Price
02/11/00 S 267,500 D $66.62 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin dated
April 20, 1990
02/14/00 S 4,595 D 70.90 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin dated
April 20, 1990
02/14/00 S 18,750 D 71.50 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin dated
April 20, 1990
02/15/00 S 31,250 D 72.37 814,278(1)(2) I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Elizabeth
Arabella Lumpkin dated
April 20, 1990
02/01/00 S 3,330 D 70.14 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Benjamin
Iverson Lumpkin dated
April 20, 1990
02/02/00 S 2,985 D 70.05 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Benjamin
Iverson Lumpkin dated
April 20, 1990
5. Amount of 6. Owner-
2. Trans- Securities ship Form: 7. Nature
1. Title action 4. Securities Beneficially Direct (D) of Indirect
of Date 3. Trans- Acquired (A) or Owned at End or Indirect Beneficial
Security (Month / action Code Disposed of (D) of Month (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) Instr. 4) (Instr. 4)
---------- ---------- ---------- -------------------- ---------------- ----------- -----------
Code V Amount (A)or(D) Price
02/03/00 S 2,645 D $70.12 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Benjamin
Iverson Lumpkin dated
April 20, 1990
02/04/00 S 4,380 D 71.40 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Benjamin
Iverson Lumpkin dated
April 20, 1990
02/07/00 S 3,940 D 70.14 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Benjamin
Iverson Lumpkin dated
April 20, 1990
02/11/00 S 267,500 D 66.62 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Benjamin
Iverson Lumpkin dated
April 20, 1990
02/14/00 S 4,595 D 70.90 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Benjamin
Iverson Lumpkin dated
April 20, 1990
02/14/00 S 18,750 D 71.50 I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Benjamin
Iverson Lumpkin dated
April 20, 1990
5. Amount of 6. Owner-
2. Trans- Securities ship Form: 7. Nature
1. Title action 4. Securities Beneficially Direct (D) of Indirect
of Date 3. Trans- Acquired (A) or Owned at End or Indirect Beneficial
Security (Month / action Code Disposed of (D) of Month (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) Instr. 4) (Instr. 4)
---------- ---------- ---------- -------------------- ---------------- ----------- -----------
Code V Amount (A)or(D) Price
02/15/00 S 31,250 D $72.37 814,278 (1)(2) I By Richard Anthony
Lumpkin 1990 Personal
Income Trust for the
Benefit of Benjamin
Iverson Lumpkin dated
April 20, 1990
02/01/00 S 1,900 D 70.12 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of John
Woodruff Sparks dated
April 20, 1990
02/02/00 S 1,700 D 70.05 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of John
Woodruff Sparks dated
April 20, 1990
02/03/00 S 1,515 D 70.08 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of John
Woodruff Sparks dated
April 20, 1990
02/04/00 S 2,505 D 71.40 75,614 (1) I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of John
Woodruff Sparks dated
April 20, 1990
02/01/00 S 1,900 D 70.12 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of Anne
Romayne Sparks dated
April 20, 1990
02/02/00 S 1,700 D 70.05 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of Anne
Romayne Sparks dated
April 20, 1990
5. Amount of 6. Owner-
2. Trans- Securities ship Form: 7. Nature
1. Title action 4. Securities Beneficially Direct (D) of Indirect
of Date 3. Trans- Acquired (A) or Owned at End or Indirect Beneficial
Security (Month / action Code Disposed of (D) of Month (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) Instr. 4) (Instr. 4)
---------- ---------- ---------- -------------------- ---------------- ----------- -----------
Code V Amount (A)or(D) Price
02/03/00 S 1,515 D $70.08 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of Anne
Romayne Sparks dated
April 20, 1990
02/04/00 S 2,505 D 71.40 75,614 (1) I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of Anne
Romayne Sparks dated
April 20, 1990
02/01/00 S 1,900 D 70.12 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of
Barbara Lee Sparks dated
April 20, 1990
02/02/00 S 1,700 D 70.05 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of
Barbara Lee Sparks dated
April 20, 1990
02/03/00 S 1,515 D 70.08 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of
Barbara Lee Sparks dated
April 20, 1990
02/04/00 S 2,505 D 71.40 75,614 (1) I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of
Barbara Lee Sparks dated
April 20, 1990
02/01/00 S 1,900 D 70.12 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of
Christina Louise Sparks
dated April 20, 1990
5. Amount of 6. Owner-
2. Trans- Securities ship Form: 7. Nature
1. Title action 4. Securities Beneficially Direct (D) of Indirect
of Date 3. Trans- Acquired (A) or Owned at End or Indirect Beneficial
Security (Month / action Code Disposed of (D) of Month (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) Instr. 4) (Instr. 4)
---------- ---------- ---------- -------------------- ---------------- ----------- -----------
Code V Amount (A)or(D) Price
02/02/00 S 1,700 D $70.05 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of
Christina Louise Sparks
dated April 20, 1990
02/03/00 S 1,515 D 70.08 I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of
Christina Louise Sparks
dated April 20, 1990
02/04/00 S 2,505 D 71.40 75,614 (1) I By Mary Lee Sparks 1990
Personal Income Trust
for the Benefit of
Christina Louise Sparks
dated April 20, 1990
02/01/00 S 1,430 D 70.09 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of Susan
Tamara Keon DeWyngaert
dated April 20, 1990
02/02/00 S 1,275 D 70.05 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of Susan
Tamara Keon DeWyngaert
dated April 20, 1990
02/03/00 S 1,130 D 70.04 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of Susan
Tamara Keon DeWyngaert
dated April 20, 1990
02/04/00 S 1,880 D 71.38 0 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of Susan
Tamara Keon DeWyngaert
dated April 20, 1990
5. Amount of 6. Owner-
2. Trans- Securities ship Form: 7. Nature
1. Title action 4. Securities Beneficially Direct (D) of Indirect
of Date 3. Trans- Acquired (A) or Owned at End or Indirect Beneficial
Security (Month / action Code Disposed of (D) of Month (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) Instr. 4) (Instr. 4)
---------- ---------- ---------- -------------------- ---------------- ----------- -----------
Code V Amount (A)or(D) Price
02/01/00 S 1,430 D $70.09 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Joseph John Keon III
dated April 20, 1990
02/02/00 S 1,275 D 70.05 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Joseph John Keon III
dated April 20, 1990
02/03/00 S 1,130 D 70.04 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Joseph John Keon III
dated April 20, 1990
02/04/00 S 1,880 D 71.38 0 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Joseph John Keon III
dated April 20, 1990
02/01/00 S 1,430 D 70.09 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Katherine Stoddert Keon
dated April 20, 1990
02/02/00 S 1,275 D 70.05 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Katherine Stoddert Keon
dated April 20, 1990
02/03/00 S 1,130 D 70.04 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Katherine Stoddert Keon
dated April 20, 1990
5. Amount of 6. Owner-
2. Trans- Securities ship Form: 7. Nature
1. Title action 4. Securities Beneficially Direct (D) of Indirect
of Date 3. Trans- Acquired (A) or Owned at End or Indirect Beneficial
Security (Month / action Code Disposed of (D) of Month (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) Instr. 4) (Instr. 4)
---------- ---------- ---------- -------------------- ---------------- ----------- -----------
Code V Amount (A)or(D) Price
02/04/00 S 1,880 D $71.38 O I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Katherine Stoddert Keon
dated April 20, 1990
02/01/00 S 1,430 D 70.09 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of Lisa
Anne Keon dated April
20, 1990
02/02/00 S 1,275 D 70.05 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of Lisa
Anne Keon dated April
20, 1990
02/03/00 S 1,130 D 70.04 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of Lisa
Anne Keon dated April
20, 1990
02/04/00 S 1,880 D 71.38 0 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of Lisa
Anne Keon dated April
20, 1990
02/01/00 S 1,430 D 70.09 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Margaret Lynley Keon
dated April 20, 1990
02/02/00 S 1,275 D 70.05 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Margaret Lynley Keon
dated April 20, 1990
5. Amount of 6. Owner-
2. Trans- Securities ship Form: 7. Nature
1. Title action 4. Securities Beneficially Direct (D) of Indirect
of Date 3. Trans- Acquired (A) or Owned at End or Indirect Beneficial
Security (Month / action Code Disposed of (D) of Month (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) Instr. 4) (Instr. 4)
---------- ---------- ---------- -------------------- ---------------- ----------- -----------
Code V Amount (A)or(D) Price
02/03/00 S 1,130 D $70.04 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Margaret Lynley Keon
dated April 20, 1990
02/04/00 S 1,880 D 71.38 0 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Margaret Lynley Keon
dated April 20, 1990
02/01/00 S 1,430 D 70.09 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Pamela Keon Vitale dated
April 20, 1990
02/02/00 S 1,275 D 70.05 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Pamela Keon Vitale dated
April 20, 1990
02/03/00 S 1,130 D 70.04 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Pamela Keon Vitale dated
April 20, 1990
02/04/00 S 1,880 D 71.38 0 I By Margaret L. Keon 1990
Personal Income Trust
for the Benefit of
Pamela Keon Vitale dated
April 20, 1990
622,254(3) D
3,644 I By Richard Anthony
Lumpkin Trust under the
Trust Agreement dated
February 6, 1970
</TABLE>
Table II -- Derivative Securities Acquired,
Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
<TABLE>
<CAPTION>
9. 10.
5. Number Owner-
Number of ship
of Deriv- Deriv- Form of 11.
ative ative Deriva- Nature
1. Securi- Secur- tive of
Title 2. ties 8. ities Secur- Indi-
of Conver- Acquired Price Benefi- ity: rect
Deri- sion or 3. Trans- 4. (A) or of cially Direct Benefi-
vative Exercise action Trans- Disposed 7. Title and Deriva- Owned at (D) or cial
Secur- Price of Date action of (D) 6. Date Amount of tive End of Indirect Owner-
ity Deriva- (Month/ Code (Instr. Exercisable and Underlying Secur- Month (I) ship
(Instr. tive Day/ (Instr. 3, 4 and Expiration Date Securities ity (Instr. (Instr. (Instr.
3) Security Year) 8) 5) (Month/Day/Year) (Instr. 3 and 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>
Em- $17.625(1) (2) 9/25/07 Class A 80,000(1) 80,000(1) D
ployee Common
Stock Stock
Option
(right
to buy)
(1)
Em- $17.25 (3) (4) 12/22/07 Class A 10,000(3) 10,000(3) D
ployee Common
Stock Stock
Option
(right
to buy)
(2)
Em- $14.875(5) (6) 12/31/08 Class A 80,000(5) 80,000(5) D
ployee Common
Stock Stock
Option
(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, Richard A. Lumpkin and Gail
Gawthrop Lumpkin are members 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 securities shown in Table I are beneficially owned
for purposes of Rule 16a-1(a)(2) by Richard A. Lumpkin.
(1) 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. This delegation was
revoked effective February 6, 2000.
(2) Effective February 7, 2000, the trustees of these two 1990
Personal Income Trusts named Richard A. Lumpkin as agent
with respect to the sale of these shares.
(3) 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) This option was previously reported as covering 40,000
shares at an exercise price of $35.25 per share, but was
adjusted to reflect a stock split on July 26, 1999.
(2) The employee stock option dated 12/3/97 vests in four equal
annual installments which began on September 25, 1998.
(3) This option was previously reported as covering 5,000 shares
at an exercise price of $34.50 per share, but was adjusted
to reflect a stock split on July 26, 1999.
(4) The employee stock option dated 12/22/97 vests in four equal
annual installments which began on December 22, 1998.
(5) This option was previously reported as covering 40,000
shares at an exercise price of $29.75 per share, but was
adjusted to reflect a stock split on July 26, 1999.
(6) 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: March __, 2000
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: February 2000
Signature: Gail Gawthrop Lumpkin
By: Steven L. Grissom
Attorney in Fact
JOINT FILER INFORMATION
Name: Steven L. Grissom
Address: 121 South 17th Street, Mattoon, Illinois 61938
Designated Filer: Richard A. Lumpkin
Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD
Statement for Month/Year: February 2000
Signature: Steven L. Grissom
As trustee of the
Personal Income Trusts
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