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Proc-Type: 2001,MIC-CLEAR
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 Form 4 OMB APPROVAL OMB Number: 3235-0287 Expires: December 31, 2001 Estimated average burden hours per response ....0.5 ¨
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b) (Print or Type Responses) 1 .Name and Address of Reporting Person 2. Issuer Name and Ticker or Trading Symbol MPower Communications Corp. (MPWR) 6. Relationship of Reporting Person(s) to Issuer ______Director XX 10% Owner ______Officer (give ______Other (specify title below) below) ____________________________ (Last) (First) (Middle) Gerhard, Lang H. 3. IRS Identification Number of Reporting Person, if an entity 4. Statement for 11/2000 (Street) 300 Drakes Landing Road, Suite 290, 5. If Amendment, 7. Individual or Joint/Group Filing --See Note 1. (City) (State) (Zip) Greenbrae, CA 94904 Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature of Indirect Beneficial Ownership Code V Amount (A) or (D) Price Common Stock 11/01/00 P 38,633 A 6.4188 9,180,162 D & I See Notes 3 & 5. Common Stock 11/01/00 P 11,867 A 6.4188 2,819,988 I See Notes 2 & 5. Common Stock 11/01/00 P 19,125 A 6.7250 9,180,162 D & I See Notes 3 & 5. Common Stock 11/01/00 P 5,875 A 6.7250 2,819,988 I See Notes 2 & 5. Common Stock 11/02/00 P 68,850 A 5.9931 9,180,162 D & I See Notes 3 & 5. Common Stock 11/02/00 P 21,150 A 5.9931 2,819,988 I See Notes 2 & 5. Common Stock 11/02/00 P 45,518 A 5.8869 9,180,162 D & I See Notes 3 & 5. Common Stock 11/02/00 P 13,982 A 5.8869 2,819,988 I See Notes 2 & 5. Common Stock 11/03/00 P 38,250 A 5.5930 9,180,162 D & I See Notes 3 & 5. Common Stock 11/03/00 P 11,750 A 5.5930 2,819,988 I See Notes 2 & 5. Common Stock 11/03/00 P 76,500 A 5.6063 9,180,162 D & I See Notes 3 & 5. Common Stock 11/03/00 P 23,500 A 5.6063 2,819,988 I See Notes 2 & 5. Common Stock 11/06/00 P 76,500 A 5.3311 9,180,162 D & I See Notes 3 & 5. Common Stock 11/06/00 P 23,500 A 5.3311 2,819,988 I See Notes 2 & 5. Common Stock 11/07/00 P 11,475 A 5.0156 9,180,162 D & I See Notes 3 & 5. Common Stock 11/07/00 P 3,525 A 5.0156 2,819,988 I See Notes 2 & 5. Common Stock 11/07/00 P 55,386 A 5.0436 9,180,162 D & I See Notes 3 & 5. Common Stock 11/07/00 P 17,014 A 5.0436 2,819,988 I See Notes 2 & 5. Common Stock 11/08/00 P 9,639 A 5.4421 9,180,162 D & I See Notes 3 & 5. Common Stock 11/08/00 P 2,961 A 5.4421 2,819,988 I See Notes 2 & 5. Common Stock 11/08/00 P 80,500 A 5.4421 4,991,980 D See Note 4. Common Stock 11/08/00 P 65,000 A 5.5288 4,991,980 D See Note 4. Common Stock 11/08/00 P 54,500 A 5.5416 4,991,980 D See Note 4. Common Stock 11/09/00 P 73,500 A 5.2762 4,991,980 D See Note 4. Common Stock 11/09/00 P 50,000 A 5.3125 4,991,980 D See Note 4. Common Stock 11/09/00 P 176,500 A 5.2755 4,991,980 D See Note 4. Common Stock 11/10/00 P 100,000 A 5.0048 4,991,980 D See Note 4. Common Stock 11/10/00 P 289,170 A 4.4375 9,180,162 D & I See Notes 3 & 5. Common Stock 11/10/00 P 88,830 A 4.4375 2,819,988 I See Notes 2 & 5. Common Stock 11/13/00 P 55,000 A 5.0000 4,991,980 D See Note 4. Common Stock 11/13/00 P 45,000 A 4.8052 4,991,980 D See Note 4. Common Stock 11/13/00 P 100,000 A 4.8578 4,991,980 D See Note 4. Common Stock 11/13/00 P 8,033 A 4.8052 9,180,162 D & I See Notes 3 & 5. Common Stock 11/13/00 P 2,467 A 4.8052 2,819,988 I See Notes 2 & 5. Common Stock 11/13/00 P 161,798 A 4.8113 9,180,162 D & I See Notes 3 & 5. Common Stock 11/13/00 P 49,702 A 4.8113 2,819,988 I See Notes 2 & 5. Common Stock 11/14/00 P 95,625 A 4.7500 9,180,162 D & I See Notes 3 & 5. Common Stock 11/14/00 P 29,375 A 4.7500 2,819,988 I See Notes 2 & 5. Common Stock 11/14/00 P 30,600 A 5.0547 9,180,162 D & I See Notes 3 & 5. Common Stock 11/14/00 P 9,400 A 5.0547 2,819,988 I See Notes 2 & 5. Common Stock 11/14/00 P 7,956 A 4.9838 9,180,162 D & I See Notes 3 & 5. Common Stock 11/14/00 P 2,444 A 4.9838 2,819,988 I See Notes 2 & 5. Common Stock 11/15/00 P 148,028 A 4.8561 9,180,162 D & I See Notes 3 & 5. Common Stock 11/15/00 P 45,472 A 4.8561 2,819,988 I See Notes 2 & 5. Common Stock 11/15/00 P 23,792 A 4.7438 9,180,162 D & I See Notes 3 & 5. Common Stock 11/15/00 P 7,308 A 4.7438 2,819,988 I See Notes 2 & 5. Common Stock 11/15/00 P 94,000 A 4.8561 4,991,980 D See Note 4. Common Stock 11/16/00 P 115 A 4.9375 9,180,162 D & I See Notes 3 & 5. Common Stock 11/16/00 P 35 A 4.9375 2,819,988 I See Notes 2 & 5. Common Stock 11/16/00 P 16,000 A 4.9615 4,991,980 D See Note 4. Common Stock 11/16/00 P 50,000 A 5.1250 4,991,980 D See Note 4. Common Stock 11/16/00 P 40,000 A 5.0508 4,991,980 D See Note 4. Common Stock 11/21/00 P 120,800 A 4.7069 4,991,980 D See Note 4. Common Stock 11/22/00 P 26,500 A 4.5768 4,991,980 D See Note 4. Common Stock 11/22/00 P 50,000 A 4.6875 4,991,980 D See Note 4. Common Stock 11/24/00 P 61,900 A 4.3278 4,991,980 D See Note 4. Common Stock 11/24/00 P 5,000 A 4.5000 4,991,980 D See Note 4. Common Stock 11/27/00 P 16,100 A 4.7448 4,991,980 D See Note 4. Common Stock 11/27/00 P 100,000 A 4.6094 4,991,980 D See Note 4. Common Stock 11/28/00 P 25,000 A 4.6250 4,991,980 D See Note 4. Common Stock 11/28/00 P 60,000 A 3.9115 4,991,980 D See Note 4. Common Stock 11/28/00 P 125,000 A 4.5719 4,991,980 D See Note 4. Common Stock 11/28/00 P 156,200 A 3.9375 4,991,980 D See Note 4. Common Stock 11/28/00 P 30,000 A 4.1510 4,991,980 D See Note 4. Common Stock 11/29/00 P 51,500 A 3.2066 4,991,980 D See Note 4. Common Stock 11/29/00 P 274,200 A 3.1196 4,991,980 D See Note 4. Common Stock 11/30/00 P 700,000 A 2.5625 4,991,980 D See Note 4. Common Stock 11/30/00 P 16,600 A 2.8686 4,991,980 D See Note 4. Common Stock 11/30/00 P 173,180 A 3.4255 4,991,980 D See Note 4. 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 4(b)(v). Persons who respond to the collection of information contained
Washington, D.C. 20549
(Check all applicable)
(voluntary)
Month/Year
Date of Original
(Month/Year)
___Form filed by One Reporting Person
_XX__Form filed by More than One Reporting Person
(Instr. 4)
action
Date
(Month/
Day/
Year)
Action
Code
(Instr. 8)
or Disposed of (D)
(Instr. 3, 4 AND 5)
Securities
Beneficially
Owned at
End of Month
(Instr. 3 and 4)
ship
Form:
Direct
(D) or
Indirect
(I)
(Instr. 4)
(Instr. 4)
in this form are not required to respond unless the form displays SEC 1474 (3-00)
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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1. Title of |
2. Conver- |
3. Trans- |
4. Trans-
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5. Number of Deriv- |
6. Date Exer- |
7. Title and Amount of Securities |
8. Price |
9. Number |
10. Owner- |
11. Nature of Indirect |
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Code |
V |
(A) |
(D) |
Date |
Expira- |
Title |
Amount or |
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Explanation of Responses:
(1) The reporting persons consist of (i) Lang H. Gerhard, manager of Estero Partners, LLC, and sole shareholder of West Highland Capital, Inc., and a general partner of investment limited partnerships; (ii) West Highland Capital, Inc., a registered investment adviser and general partner of investment limited partnerships; (iii) Estero Partners, LLC, a general partner of investment limited partnerships and (iv) West Highland Partners, L.P., an investment limited partnership of which Lang Gerhard, West Highland Capital, Inc. and Estero Partners, LLC are the general partners. Lang Gerhard, West Highland Capital, Inc. and Estero Partners, LLC constitute a group as defined by Rule 13d-5(b)(i) and Rule 16a-1(a)(1) under the Exchange Act. West Highland Partners, L.P. is filing jointly and disclaims membership in a group.
(2) These securities are owned by an investment advisory client of West Highland Capital, Inc. or by an investment limited partnership of which West Highland Capital, Inc., Estero Partners, LLC and Lang H. Gerhard are the general partners.
(3) These securities are owned directly by West Highland Partners, L.P. Each of the other reporting persons is a partner of West Highland Partners, L.P. but disclaims beneficial ownership of the shares held by that partner except to the extent of its pro rata pecuniary interest therein.
(4) These securities are owned directly by Lang Gerhard.
(5) Each reporting person disclaims beneficial ownership of the securities with respect to which indirect beneficial ownership is reported except to the extent of such reporting person's pro rata pecuniary interest therein.
Lang H. Gerhard 12/7/00
By: West Highland Capital, Inc.
Attorney-in-fact
By: /s/ Bonnie George
Bonnie George, Chief Operating Officer
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff
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.
Joint Filer Information
Name: West Highland Capital, Inc.
Address: 300 Drake's Landing Road, Suite 290, Greenbrae, CA 94904
Designated Filer: Lang H. Gerhard
Issuer and Ticker Symbol: MPower Communications Corp. (MPWR)
Statement for Month/Year: November 2000
Signature: West Highland Capital, Inc.
By:
/s/ Bonnie GeorgeBonnie George, Chief Operating Officer
Name: Estero Partners, LLC
Address: 300 Drake's Landing Road, Suite 290, Greenbrae, CA 94904
Designated Filer: Lang H. Gerhard
Issuer and Ticker Symbol: MPower Communications Corp. (MPWR)
Statement for Month/Year: November 2000
Signature: Estero Partners, LLC
By: West Highland Capital, Inc., Attorney-in-Fact
By:
/s/ Bonnie GeorgeBonnie George, Chief Operating Officer