-----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, Q6M+ql43OnqnLsdvf4FNOrAtlrVkPf6S7YEf4d8NX/DFngR5BP7MXOGJU5lHMfu0 Iqjx6uJt7fvxkXZfIuzBdQ== 0000935836-02-000386.txt : 20021009 0000935836-02-000386.hdr.sgml : 20021009 20021009161549 ACCESSION NUMBER: 0000935836-02-000386 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021007 FILED AS OF DATE: 20021009 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MPOWER HOLDING CORP CENTRAL INDEX KEY: 0001117042 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE COMMUNICATIONS (NO RADIO TELEPHONE) [4813] IRS NUMBER: 522232143 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32941 FILM NUMBER: 02785215 BUSINESS ADDRESS: STREET 1: 171 SULLY'S TRAIL STREET 2: STE 202 CITY: PITTSFORD STATE: NY ZIP: 14534 BUSINESS PHONE: 7162186550 MAIL ADDRESS: STREET 1: 171 SULLY'S TRAIL STREET 2: STE 202 CITY: PITTSFORD STATE: NY ZIP: 14534 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: WEST HIGHLAND CAPITAL INC/LHG/WHP/PB/BP CENTRAL INDEX KEY: 0000904938 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] RELATIONSHIP: OWNER IRS NUMBER: 680152277 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 300 DRAKES LANDING RD SUITE 290 CITY: GREENBRAE STATE: CA ZIP: 94904 BUSINESS PHONE: 4154619453 MAIL ADDRESS: STREET 1: 300 DRAKES LANDING ROAD STREET 2: SUITE 290 CITY: GREENBRAE STATE: CA ZIP: 94904 4 1 mpower4.htm

 

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

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(h) of the Investment Company Act of 1940

 

 

Form 4

OMB APPROVAL

OMB Number: 3235-0287

Expires: January 31, 2005

Estimated average burden

hours per response 0.5

#9;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 Holding Corporation (MPOW)

6. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

______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
(voluntary)

4. Statement for
Month/Day/Year

October 7, 2002

(Street)

300 Drakes Landing Road, Suite 290

5. If Amendment,
Date of Original
(Month/Day/Year)

7. Individual or Joint/Group Filing (Check Applicable Line)
___Form filed by One Reporting Person
_XX__Form filed by More than One Reporting Person

--See Note 1.

(City) (State) (Zip)

Greenbrae, CA 94904

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security
(Instr. 3)

2. Trans-
action
Date


(Month/
Day/
Year)

2A. Deemed Execution Date, if any

(Month/
Day/
Year)

3. Trans-
Action
Code

(Instr. 8)

4. Securities Acquired (A)
or Disposed of (D)

(Instr. 3, 4 and 5)

5. Amount of
Securities
Beneficially
Owned
Following
Reported
Transaction(s)

(Instr. 3 and 4)

6. Owner-
ship
Form:
Direct
(D) or
Indirect
(I)

(Instr. 4)

7. Nature of Indirect Beneficial Ownership

(Instr. 4)

Code

V

Amount

(A) or

(D)

Price

Common Stock

10/7/02

J(2)

21,322

D

See Note 4

D & I

See Notes 5 & 7

Common Stock

10/7/02

J(3)

50,155

D

See Note 4

I

See Notes 6 & 7

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 (Over)
in this form are not required to respond unless the form displays SEC 1474 (3-00)

a currently valid OMB control number.

 

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of
Derivative Security
(Instr. 3)

2. Conver-
sion or
Exercise
Price of
Deri-
vative
Security

3. Trans-
action
Date


(Month/
Day/
Year)

3A. Deemed
Execution
Date,
if any

(Month/
Day/
Year)

4. Trans-
action
Code
(Instr. 8)

 

 

 

5. Number of Deriv-
ative Securities Ac-
quired (A) or Dis-
posed of (D)
(Instr. 3, 4, and 5)

6. Date Exer-
cisable and
Expiration
Date
(Month/Day/
Year).

7. Title and Amount of Securities
Underlying
Derivative Security

(Inst. 3 and 4)

8. Price
of
Deriv-
ative
Secur-
ity

(Instr.
5)

9. Number
of deriv-
ative
Secur-
ities
Bene-
ficially
Owned
Following
Reported
Tran-saction(s)

(Instr. 4)

10. Owner-
ship
Form of
Deriv-
ative
Security:
Direct
(D) or
Indirect
(I)

(Instr. 4)

11. Nature of Indirect
Beneficial Ownership

(Instr. 4)

 

Code

 

V

 

(A)

 

(D)

Date
Exer-
cisable

Expira-
tion
Date

Title

Amount or
Number of
Shares

Explanation of Responses:

(1) The reporting persons consist of (i) Lang H. Gerhard ("Gerhard"), manager of Estero Partners, LLC, sole shareholder of West Highland Capital, Inc., and a general partner of investment limited partnerships; (ii) West Highland Capital, Inc. ("WHC"), a registered investment adviser and general partner of investment limited partnerships; (iii) Estero Partners, LLC ("Estero"), a general partner of investment limited partnerships, and (iv) West Highland Partners, L.P. ("WHP"), an investment limited partnership of which Gerhard, WHC and Estero are the general partners. Gerhard, WHC and Estero constitute a group as defined by Rule 13d-5(b)(i) and Rule 16a-1(a)(1) under the Exchange Act. WHP is filing jointly and disclaims membership in a group.

(2) Pro rata distribution from WHP to a non-managing member of Estero.

(3) Pro rata distributions from an investment limited partnership, other than WHP, of which WHC, Estero and Gerhard are the general partners (the "Other Partnership"), to a limited partner of the Other Partnership (41,967 shares) and to a non-managing member of Estero (8,188 shares).

(4) After the distributions reported on this form, each of Gerhard and WHC beneficially owned 9,597,983 shares indirectly, and Estero beneficially owned 8,888,629 shares indirectly. Each of those figures included 7,224,082 shares owned directly by WHP.

(5) The securities owned directly by WHP are also owned indirectly by WHC, Estero and Gerhard.

(6) The securities owned directly by the Other Partnership (which is not a reporting person) are also owned indirectly by WHC, Estero and Gerhard.

(7) Each reporting person disclaims beneficial ownership of the securities with respect to which indirect beneficial ownership is reported, except to the extent of its pro rata pecuniary interest therein.

Lang H. Gerhard 10/9/02

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 Drakes Landing Road, Suite 290, Greenbrae, CA 94904

Designated Filer: Lang H. Gerhard

Issuer and Ticker Symbol: Mpower Holding Corporation (MPOW)

Statement for Month/Year: October 7, 2002

Signature: West Highland Capital, Inc.

By: /s/ Bonnie George

Chief Operating Officer

Name: Estero Partners, LLC

Address: 300 Drakes Landing Road, Suite 290, Greenbrae, CA 94904

Designated Filer: Lang H. Gerhard

Issuer and Ticker Symbol: Mpower Holding Corporation (MPOW)

Statement for Month/Year: October 7, 2002

Signature: Estero Partners, LLC

By: West Highland Capital, Inc., Attorney-in-Fact

By: /s/ Bonnie George

Chief Operating Officer

Name: West Highland Partners, L.P.

Address: 300 Drakes Landing Road, Suite 290, Greenbrae, CA 94904

Designated Filer: Lang H. Gerhard

Issuer and Ticker Symbol: Mpower Holding Corporation (MPOW)

Statement for Month/Year: October 7, 2002

Signature: West Highland Partners, L.P.

By: West Highland Capital, Inc., General Partner

By: /s/ Bonnie George

Chief Operating Officer

 

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