|
|
|
|
|
|
|
|
|
|
|
|
|
|
Previous: NORTHWEST INDIANA BANCORP, 10-K, 2000-03-16 |
Next: PROJECT SOFTWARE & DEVELOPMENT INC, 8-K, 2000-03-16 |
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):
February 2000; Amended to insert the first four entries of Table
I.
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
Securities
Benefi- 6. Owner-
2. Trans- cially ship Form:
1. Title action 3. Trans- 4. Securities Owned at End Direct (D)
of Date action Acquired (A) or of Month or In- 7. Nature of Indirect
Security (Month/ Code Disposed of (D) (Instr. 3 direct (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) 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 617,630 I By Trust named for
Common Stock Elizabeth L. Celio
created under the Mary
Green Gallo Trust
Agreement dated
December 29, 1989
617,630 I By Trust named for
Benjamin I. Lumpkin
created under the Mary
Green Gallo Trust
Agreement dated
December 29, 1989
109,276 I By Richard Adamson
Lumpkin Grand-
children's Trust
dated September 5, 1980
for the benefit of
Elizabeth L. Celio
109,276 I By Richard Adamson
Lumpkin Grand-
children's Trust
dated September 5,
1980 for the benefit of
Benjamin I. Lumpkin
02/01/00 S 3,330 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
Securities
Benefi- 6. Owner-
2. Trans- cially ship Form:
1. Title action 3. Trans- 4. Securities Owned at End Direct (D)
of Date action Acquired (A) or of Month or In- 7. Nature of Indirect
Security (Month/ Code Disposed of (D) (Instr. 3 direct (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
---------- --------- ---------- ---------------------------- ------------ ---------- ---------------------
Code V Amount (A)or(D) Price
---- - ------ -------- -----
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
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
5. Amount of
Securities
Benefi- 6. Owner-
2. Trans- cially ship Form:
1. Title action 3. Trans- 4. Securities Owned at End Direct (D)
of Date action Acquired (A) or of Month or In- 7. Nature of Indirect
Security (Month/ Code Disposed of (D) (Instr. 3 direct (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
---------- --------- ---------- ---------------------------- ------------ ---------- ---------------------
Code V Amount (A)or(D) Price
---- - ------ -------- -----
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
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
5. Amount of
Securities
Benefi- 6. Owner-
2. Trans- cially ship Form:
1. Title action 3. Trans- 4. Securities Owned at End Direct (D)
of Date action Acquired (A) or of Month or In- 7. Nature of Indirect
Security (Month/ Code Disposed of (D) (Instr. 3 direct (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
---------- --------- ---------- ---------------------------- ------------ ---------- ---------------------
Code V Amount (A)or(D) Price
---- - ------ -------- -----
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
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
5. Amount of
Securities
Benefi- 6. Owner-
2. Trans- cially ship Form:
1. Title action 3. Trans- 4. Securities Owned at End Direct (D)
of Date action Acquired (A) or of Month or In- 7. Nature of Indirect
Security (Month/ Code Disposed of (D) (Instr. 3 direct (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) 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 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
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
5. Amount of
Securities
Benefi- 6. Owner-
2. Trans- cially ship Form:
1. Title action 3. Trans- 4. Securities Owned at End Direct (D)
of Date action Acquired (A) or of Month or In- 7. Nature of Indirect
Security (Month/ Code Disposed of (D) (Instr. 3 direct (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
---------- --------- ---------- ---------------------------- ------------ ---------- ---------------------
Code V Amount (A)or(D) Price
---- - ------ -------- -----
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
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
5. Amount of
Securities
Benefi- 6. Owner-
2. Trans- cially ship Form:
1. Title action 3. Trans- 4. Securities Owned at End Direct (D)
of Date action Acquired (A) or of Month or In- 7. Nature of Indirect
Security (Month/ Code Disposed of (D) (Instr. 3 direct (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
---------- --------- ---------- ---------------------------- ------------ ---------- ---------------------
Code V Amount (A)or(D) Price
---- - ------ -------- -----
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
Securities
Benefi- 6. Owner-
2. Trans- cially ship Form:
1. Title action 3. Trans- 4. Securities Owned at End Direct (D)
of Date action Acquired (A) or of Month or In- 7. Nature of Indirect
Security (Month/ Code Disposed of (D) (Instr. 3 direct (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) 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
5. Amount of
Securities
Benefi- 6. Owner-
2. Trans- cially ship Form:
1. Title action 3. Trans- 4. Securities Owned at End Direct (D)
of Date action Acquired (A) or of Month or In- 7. Nature of Indirect
Security (Month/ Code Disposed of (D) (Instr. 3 direct (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) 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 Katherine Stoddert
Keon dated April 20,
1990
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
5. Amount of
Securities
Benefi- 6. Owner-
2. Trans- cially ship Form:
1. Title action 3. Trans- 4. Securities Owned at End Direct (D)
of Date action Acquired (A) or of Month or In- 7. Nature of Indirect
Security (Month/ Code Disposed of (D) (Instr. 3 direct (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) 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 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
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
5. Amount of
Securities
Benefi- 6. Owner-
2. Trans- cially ship Form:
1. Title action 3. Trans- 4. Securities Owned at End Direct (D)
of Date action Acquired (A) or of Month or In- 7. Nature of Indirect
Security (Month/ Code Disposed of (D) (Instr. 3 direct (I) Beneficial Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) and 4) (Instr. 4) (Instr. 4)
---------- --------- ---------- ---------------------------- ------------ ---------- ---------------------
Code V Amount (A)or(D) Price
---- - ------ -------- -----
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>
10.
Owner-
9. ship
Number ofForm of
5. Number Deriv- Deriv-
of Deriv- ative ative 11.
ative Secur- Secur- Nature
1. 2. Con- Secur- ities ity: of
Title of version 3. ities 8. Price Benefi- Direct Indirect
Deriv- or Exer- Trans- Acquired of cially (D) or Benefi-
ative cise action 4. Trans- (A) or 7. Title and Deriv- Owned at In- cial
Secur- Price of Date action Disposed 6. Date Amount of ative End of direct Owner-
ity Deriv- (Month/ Code of (D) Exercisable and Underlying Security Month (I) ship
(Instr. ative Day/ (Instr. (Instr. 3, Expiration Date Securities (Instr. (Instr. (Instr. (Instr. (Instr.
3) Security Year) 8) 4 and 5) (Month/Day/Year) 3 and 4) 5) 4) 4) 4)
-------- -------- ------- --------- ---------- --------------- ---------------- -------- -------- ------- --------
Date
Exer- Expir- Amount or
cis- ation Number of
Code V (A) (D) able Date Title Shares
---- -- --- --- ----- ------ ----- ---------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Em- $17.625(1) (2) 09/25/07 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 16, 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
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
|
|