-----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, HjA7uozeyQEeo693cWPR0GpOD1hR4O8UFHg9CGwQuxSP6aALX2McosDrAH5WRUdR HmSlag96+RThvhBTpokvUw== 0001092306-03-000017.txt : 20030122 0001092306-03-000017.hdr.sgml : 20030122 20030122160101 ACCESSION NUMBER: 0001092306-03-000017 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030121 FILED AS OF DATE: 20030122 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: WALKER ROBERT M CENTRAL INDEX KEY: 0001185948 RELATIONSHIP: DIRECTOR STATE OF INCORPORATION: CA FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: P O BOX 547 CITY: DIXON STATE: CA ZIP: 95620 BUSINESS PHONE: 707 678 3041 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNIONBANCAL CORP CENTRAL INDEX KEY: 0001011659 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 941234979 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15081 FILM NUMBER: 03520971 BUSINESS ADDRESS: STREET 1: 400 CALIFORNIA STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94104-1476 BUSINESS PHONE: 4157652969 MAIL ADDRESS: STREET 1: 400 CALIFORNIA STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94104-1476 4 1 form4.txt FORM 4 - ROBERT M. WALKER
____________________________ OMB APPROVAL FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION ____________________________ WASHINGTON, D.C. 20549 OMB Number: 3235-0287 [ ] CHECK THIS BOX IF NO Expires: January 31, 2005 LONGER SUBJECT TO STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Estimated average burden SECTION 16. FORM 4 hours per response.......0.5 OR FORM 5 OBLIGATIONS ____________________________ MAY CONTINUE. SEE INSTRUCTION 1(b). 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 2. Issuer Name AND Ticker 6. Relationship of Reporting Person(s) to Reporting Person* or Trading Symbol Issuer (Check all applicable) Walker Robert M. UnionBanCal Corporation "UB" X _________________________________________________________________________________ ____Director ____10% Owner (Last) (First) (Middle) 3. I.R.S. Identification 4. Statement for X (specify Number of Reporting Month/Day/Year ____Officer (give ____Other title c/o UnionBanCal Corporation Person, if an entity title below) below) 400 California Street (voluntary) January 21, 2003 Vice Chairman ______________________________ _______________________________________________________________________ (Street) 5. If Amendment, 7. Individual or Joint/Group Filing San Francisco California 94104 Date of Original (Check Applicable Line) ______________________________ (Month/Day/Year) X (City) (State) (Zip) ___Form filed by One Reporting Person ___Form filed by More than One Reporting Person ____________________________________________________________________________________________________________________________________ TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIARY OWNED ____________________________________________________________________________________________________________________________________ 1. Title of 2. Trans- 2A. Deemed 3. Transaction 4. Securities 5. Amount of 6. Ownership 7. Nature of Security action Execution Code Acquired (A) Securities Form: Indirect (Instr. 3) Date Date, if (Instr. 8) or Disposed Beneficially Direct(D) Beneficial (Month/ any (Month/ of (D) Owned Following or Ownership Day/ Day/Year) (Instr. 3, 4 Reported Indirect Year) and 5) Transaction(s) (I) (Instr. 4) ____________________________________ (Instr. 3 (Instr. 4) Code V Amount (A) or Price and 4) (D) ____________________________________________________________________________________________________________________________________ Common Stock 1/21/03 M 30,000 A $11.25 ____________________________________________________________________________________________________________________________________ Common Stock 1/21/03 S 30,000 D $42.0004 0 ____________________________________________________________________________________________________________________________________ Common Stock 51,900 I by trust(1) ____________________________________________________________________________________________________________________________________ Common Stock 164.7166 I by 401(k)(2) ____________________________________________________________________________________________________________________________________ ____________________________________________________________________________________________________________________________________ ____________________________________________________________________________________________________________________________________ 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 (9-02) 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. Title of Derivative 2. Conver- 3. Trans- 3A. Deemed 4. Trans- 5. Number of 6. Date Exer- 7. Title and Security sion or action Execution action Derivative cisable and Amount of (Instr. 3) Exercise Date Date, if Code Securities Expiration Underlying Price of (Month/ any (Instr. Acquired (A) Date Securities Deri- Day/ (Month/ 8) or Disposed (Month/Day/ (Instr. 3 vative Year) Day/Year) of (D) Year) and 4) Security (Instr. 3,4 and 5) __________________________________________________________________ Code V (A) (D) Date Expi- Title Amount Exer- ration or cisable Date Number of Shares ____________________________________________________________________________________________________________________________________ Nonqualified Stock Options $11.25 1/21/03 M 30,000 (3) 4/1/2005 Common 30,000 ____________________________________________________________________________________________________________________________________ ____________________________________________________________________________________________________________________________________ Balance of all non- qualified stock options granted ____________________________________________________________________________________________________________________________________ ____________________________________________________________________________________________________________________________________ ____________________________________________________________________________________________________________________________________ 8. Price 9. Number 10. Owner- 11. Nature of of deriv- ship of Deriv- ative Form of Indirect ative Securities Deriv- Benefi- Security Bene- ative cial (Instr. ficially Security: Owner- 5) Owned Direct ship Following (D) or (Instr.4) Reported Indirect Transaction(s) (I) (Instr. 4) (Instr. 4) ______________________________________________________________ -0- ______________________________________________________________ ______________________________________________________________ 263,500 D ______________________________________________________________ ______________________________________________________________ ______________________________________________________________ EXPLANATION OF RESPONSES: (1) Robert & Judith Walker Trust. (2) Shares held in the Union Bank of California 401(k) Plan as of 12/31/02 (3) The option vested in three equal annual installments on 4/1/96, 4/1/97, 4/1/98. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ROBERT M. WALKER 1/22/03 ________________________________________________________ **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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