-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SItx133pIbvtSO1nI0yaROoVwykUbvSurqcIMZLLCwTBQ4w4USTCsbWBBaftC8gx Fim5S7K+f5Sl4DS6EKUzSA== 0000950168-98-001360.txt : 19980427 0000950168-98-001360.hdr.sgml : 19980427 ACCESSION NUMBER: 0000950168-98-001360 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980423 FILED AS OF DATE: 19980424 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: US LEC CORP CENTRAL INDEX KEY: 0001054290 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE COMMUNICATIONS (NO RADIO TELEPHONE) [4813] IRS NUMBER: 562065535 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-24061 FILM NUMBER: 98601040 BUSINESS ADDRESS: STREET 1: 212 S TRYON ST STREET 2: STE 1540 CITY: CHARLOTTE STATE: NC ZIP: 28251 MAIL ADDRESS: STREET 1: 212 S TRYON ST STREET 2: SUITE 1540 CITY: CHARLOTTE STATE: NC ZIP: 28281 COMPANY DATA: COMPANY CONFORMED NAME: FLAUM DAVID M CENTRAL INDEX KEY: 0001060477 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 212 SOUTH TRYON STREET STREET 2: SUITE 1540 CITY: CHARLOTTE STATE: NC ZIP: 28281 MAIL ADDRESS: STREET 1: 212 SOUTH TRYON STREET STREET 2: SUITE 1540 CITY: CHARLOTTE STATE: NC ZIP: 28281 3 1 FORM 3 FOR FLAUM FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL ------------ OMB Number: 3235-0104 Expires: September 30, 1998 Estimated average burden hours per response .... 0.5 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
(Print or Type Responses) 1. Name and Address of Reporting Person* 2. Date of Event Re- 4. Issuer Name and Ticker or quiring statement Trading Symbol Flaum, David M. (Month/Day/Year) US LEC Corp. (CLEC) - -------------------------------------- -------------------------------- (Last) (First) (Middle) 4/23/98 5. Relationship of Reporting 6. If Amendment, Date of ------------------- Person(s) to Issuer Original (Month/Day/Year) 3365 Elmwood Avenue 3. IRS or Social Se- (Check all applicable) ---------------------------- - -------------------------------------- curity Number of X Director __10% Owner (Street) Reporting Person __ Officer (give __Other 7. Individual or Joint/Group (Voluntary) title below)(specify below) Filing (Check Applicable Line) Rochester, NY 14618 ------------------------ X Form filled by One Reporting - -------------------------------------- Person (City) (State) (Zip) __ Form filled by More than One Reporting Person
Table I - Non Derivative Securities Beneficially Owned - -------------------------------------------------------------------------------- 1. Title of Security 2. Amount of Securities 3. Ownership 4. Nature of Indirect Beneficial (Instr. 4) Beneficially Owned Form: Direct Ownership (Instr. 5) (Inst.4) (D) or Indirect (I) (Instr.5) - ------------------------------------------------------------------------------------------------------------ Class A Common Stock 180,000 D - ------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 5(b)(v). (Over) SEC 1473 (7-97) FORM 3 (continued) Table II-Derivative Securities Beneficially Owned (e.g. puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security 2. Date Exer- 3. Title and Amount of Securities 4. Conver- 5. Owner- 6. Nature of Indirect (Instr. 4) cisable and Underlying Derivative Security sion or ship Beneficial Ownership Expiration (Instr. 4) Exercise Form of (Instr. 4) Date Price of Deriv- (Month/Day/ Deri- ative Year) vative Security: ------------------------------------------------ Security Direct Date Expira- Title Amount (D) or Exer- tion or Indirect cisable Date Number (I) of Shares (Instr.5) - ---------------------------------------------------------------------------------------------------------------------------------- Non-qualified Stock Option 4/23/98 4/23/08 Class A Common Stock 5,000 * D - ----------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: /s/ David M. Flaum April 23, 1998 ------------------------- ----------------- ** Signature of Reporting Date Person * Initial public offering price pursuant to Prospectus dated April 23, 1998. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 SEC 1473 (7/97) -----END PRIVACY-ENHANCED MESSAGE-----