-----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, S770eeOtcGCjiP6AE6Sghrc1pjo9+v0YpW90aSZeLGFketWC1uFF19bW17/W7RRO 9eqElqIePKfxdkT3ykmCLQ== 0000950168-99-002600.txt : 19991018 0000950168-99-002600.hdr.sgml : 19991018 ACCESSION NUMBER: 0000950168-99-002600 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991006 FILED AS OF DATE: 19991012 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: 4 SEC ACT: SEC FILE NUMBER: 000-24061 FILM NUMBER: 99726997 BUSINESS ADDRESS: STREET 1: 401 N TRYON ST STREET 2: STE 1000 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: AAB RICHARD I CENTRAL INDEX KEY: 0001060471 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 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 4 1 FORM 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL [ ] CHECK THIS BOX IF NO LONGER WASHINGTON, D.C. 20549 OMB NUMBER: 3235-0287 SUBJECT TO SECTION 16. FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP EXPIRES: DECEMBER 31, 2001 OR FORM 5 OBLIGATIONS MAY ESTIMATED AVERAGE BURDEN CONTINUE. SEE INSTRUCTION 1(B). HOURS PER RESPONSE.....0.5 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. Issuer Name and Ticker or 6. Relationship of Reporting Person(s) to Issuer Trading Symbol (Check all applicable) ___X__ Director ___X__10% Owner __X___ Officer _______ Other (give title below) (specify below) Chairman Aab Richard Thomas US LEC Corp. (CLEC) ---------- - ------------------------------------------------------------------------------------------------------------------------------------ (Last) (First) (Middle) 3. IRS 4. Statement Identification for Number of Month/Year Reporting Person, if an entity (Voluntary) 401 North Tryon Street, Suite 1000 September 1999 - ----------------------------------------------------------------------------------------------------------------------------- (Street) 5. If 7. Individual or Joint/Group Filing Amendment, (Check Applicable Line) Date of _X_ Form filed by One Reporting Person Original ___ Form filed by More than One Reporting Person Charlotte NC 28202 (Month/Year) - ------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) TABLE I-- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------ 1. 2. 3. 4. 5. 6. 7. - --------------------- -------- ---------- ------------------------------ ----------- ---------- ---------- Amount of Owner- Securities ship Trans- Trans- Securities Acquired (A) Beneficially Form: action action or Disposed of (D) Owned at Direct Nature of Date Code (Instr. 3, 4 and 5) End of (D) or Indirect Title of (Month/ (Instr. 8) ---------------------------- Month Indirect Beneficial Security Day/ ---------- Amount (A) or Price (Instr. (I) Ownership (Instr. 3) Year) Code V (D) 3 and 4) (Instr. 4) (Instr. 4) - --------------------- -------- ---- ---- ----------- ------ --------- ----------- ---------- ---------- Class A Common Stock 9/3/99 G V 5,500 D D Class A Common Stock 9/7/99 G V 19,500 D D Class A Common Stock 9/10/99 S 2,000 D $31.75 D Class A Common Stock 9/10/99 S 2,000 D $32.00 D Class A Common Stock 9/13/99 S 8,300 D $31.3/8 D Class A Common Stock 9/13/99 S 1,300 D $31.50 D Class A Common Stock 9/13/99 S 200 D $31.5/8 D Class A Common Stock 9/13/99 S 2,000 D $31 11/16 D Class A Common Stock 9/13/99 S 10,000 D $31 7/16 D Class A Common Stock 9/13/99 S 1,000 D $31.75 D Class A Common Stock 9/14/99 S 16,500 D $31 3/8 D Class A Common Stock 9/14/99 S 3,500 D $30 7/8 D Class A Common Stock 9/14/99 S 26,500 D $30.75 D Class A Common Stock 9/14/99 S 5,200 D $31.50 D Class A Common Stock 9/14/99 S 5,000 D $31 7/16 D Class A Common Stock 9/14/99 S 1,500 D $31 D Class A Common Stock 9/15/99 S 100 D $31 5/16 D Class A Common Stock 9/15/99 S 2,000 D $31.25 D Class A Common Stock 9/15/99 S 1,500 D $31 2/5 D Class A Common Stock 9/15/99 S 27,000 D $30.75 D Class A Common Stock 9/17/99 S 2,200 D $30.00 D Class A Common Stock 9/17/99 S 1,000 D $30 1/8 D Class A Common Stock 9/20/99 S 5,000 D $29.58 D Class A Common Stock 9/20/99 S 10,300 D $29.74 D Class A Common Stock 9/20/99 S 5,000 D $29.56 D Class A Common Stock 9/21/99 S 900 D $28.15 -0- D Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) *If the form is filed by more than one reporting person, SEE Instruction 4(b)(v) SEC 1474 (7-97)
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 CONTROL NUMBER
FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------ 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. - ---------- -------- -------- -------- ---------- ------------ -------------- ------ ---------- --------- ---------- Title and Ownership Number of Date Exer- Amount of Form of Derivative cisable and Underlying Number of Deriv- Securities Expiration Securities Price Derivative ative Conver- Trans- Acquired (A) Date (Month/ (Instr. 3 of Securities Security: sion or Trans- action or Disposed Day/Year) and 4) Deriv- Benefi- Direct Exercise action Code of (D) -------------- -------------- ative cially (D) or Nature of Title of Price of Date (Instr. (Instr. 3, Date Amount Secur- Owned at Indirect Indirect Derivative Deriv- (Month/ 8) 4 and 5) Exer- Expir- or Num- ity End of (I) Beneficial Security ative Day/ -------- ---------- cis- ation ber of (Instr. Month (Instr. Ownership (Instr. 3) Security Year) Code V (A) (D) able Date Title Shares 5) (Instr. 4) 4) (Instr. 4) - ---------- -------- -------- ---- --- ---- ---- ------- ----- ----- ------ ------ ---------- -------- ---------- Explanation of Responses: ** Intentional misstatements or omissions of /s/ Richard T. Aab October 6, 1999 facts constitute Federal Criminal Violations. -------------------------------- --------------- SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) ** Signature of Reporting Person Date 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
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