-----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, TAA0z8i5gUOmb+gs8TzhteWMF4IoktLLjx1VG+KV8w4mAFOnj2H7uNk2+BM2biOG lyhrilgUy8mh8z/XcmSb9w== 0001092306-03-000161.txt : 20030425 0001092306-03-000161.hdr.sgml : 20030425 20030424175002 ACCESSION NUMBER: 0001092306-03-000161 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030423 FILED AS OF DATE: 20030425 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: BOURNE JOANN M CENTRAL INDEX KEY: 0001226199 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: C/O UNIONBANCAL CORP STREET 2: 445 S FIGUEROA STREE CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: 2132367901 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15081 FILM NUMBER: 03663075 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 3 1 form3-bourne.txt FORM 3 - JOANN M. BOURNE
____________________________________________________________________________________________________________________________________ ____________________________ OMB APPROVAL FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION ____________________________ WASHINGTON, D.C. 20549 OMB Number: 3235-0104 Expires: January 31, 2005 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Estimated average burden 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. Date of Event 4. Issuer Name and Ticker or Trading Symbol Requiring Statement Bourne JoAnn M. (Month/Day/Year) UnionBanCal Corporation"UB" ________________________________________ (Last) (First) (Middle) April 23, 2003 c/o UnionBanCal Corporation 445 S. Figueroa Street ___________________________________________________________________________________________________________________________________ (Street) 3. I.R.S. Identification 5. Relationship of Reporting 6. If Amendment, Date Number of Reporting Person(s) to Issuer of Original Los Angeles CA 90071 Person, if an entity (Check all applicable) (Month/Day/Year ________________________________________ (voluntary) (City) (State) (Zip) Director ___10% Owner ________________________ ___ x 7. Individual or Joint/ ___Officer ___Other Group Filing (Check (give title (specify Applicable Line) below) below) Executive Vice President X Form filed by One ___________________________ ___Reporting Person Form filed by More ___than One Reporting Person ____________________________________________________________________________________________________________________________________ TABLE I - NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED ____________________________________________________________________________________________________________________________________ 1. Title of Security 2. Amount of 3. Ownership Form: Direct 4. Nature of Indirect (Instr.4) Securities (D) or Indirect (I) Beneficial Ownership Beneficially (Instr. 5) (Instr. 5) Owned (Instr.4) ____________________________________________________________________________________________________________________________________ Common Stock 104.7088 (1) D ____________________________________________________________________________________________________________________________________ Common Stock 1,868.7013 (2) I by 401(k) ____________________________________________________________________________________________________________________________________ Common Stock 264 I Bourne Family Trust DTD 4/92 ____________________________________________________________________________________________________________________________________ ____________________________________________________________________________________________________________________________________ ____________________________________________________________________________________________________________________________________ ____________________________________________________________________________________________________________________________________ ____________________________________________________________________________________________________________________________________ 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 5(b)(v). SEC 1473 (3-00) 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 3 TABLE II - DERIVATIVE SECURITIES BENEFICIALLY OWNED (e.g., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) (continued) ____________________________________________________________________________________________________________________________________ 1. Title of Derivative 2. Date Exer- 3. Title and Amount 4. Conver- 5. Ownership 6. Nature of Security cisable and of Securities sion or Form of Indirect (Instr. 4) Expiration Underlying Exercise Derivative Beneficial Date Derivative Security Price of Security: Ownership (Month/Day/Year) (Instr. 4) Deri- Direct (Instr. 5) ______________________________________________ vative (D) or Date Expira- Title Amount Security Indirect Exer- tion or (I) cisable Date Number (Instr. 5) of Shares ____________________________________________________________________________________________________________________________________ Nonqualified Stock Common Options (3) 5/1/2008 Stock 2,400 $35.083 D ____________________________________________________________________________________________________________________________________ Nonqualified Stock Common Options (4) 5/1/2009 Stock 7,500 $34.125 D ____________________________________________________________________________________________________________________________________ Nonqualified Stock Common Options (5) 12/1/2009 Stock 2,500 $44.5625 D ____________________________________________________________________________________________________________________________________ Nonqualified Stock Common Options (6) 5/1/2010 Stock 3,590 $28.4375 D ____________________________________________________________________________________________________________________________________ Nonqualified Stock Common Options (7) 5/1/2011 Stock 22,500 $29.73 D ____________________________________________________________________________________________________________________________________ Nonqualified Stock Common Options (8) 4/1/2012 Stock 20,000 $43.39 D ____________________________________________________________________________________________________________________________________ Nonqualified Stock Common Options (9) 4/1/2013 Stock 15,000 $39.80 D ____________________________________________________________________________________________________________________________________ Total 73,490 ____________________________________________________________________________________________________________________________________ Explanation of Responses: Effective April 23, 2003, I became a reporting person of the issuer. See page 3 for explanation of footnotes. /s/ JOANN M. BOURNE 04/23/03 _______________________________ __________________ **Signature of Reporting Person Date ** 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 provided 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 control number. Page 2 JOANN M. BOURNE CONTINUED - Page 3 SEC FORM 3 Footnotes: (1) Shares held in the UnionBanCal Corporation Dividend Reinvestment and Stock Purchase Plan as of 4/4/03. (2) Shares held in the Union Bank of California 401(k) Plan as of 4/1/03. (3) Nonqualified stock option granted 5/1/1998; grant vested in three equal annual installments beginning 5/1/1999 (grant is fully vested). (4) Nonqualified stock option granted 5/1/1999; grant vested in three equal annual installments beginning 5/1/2000 (grant is fully vested). (5) Nonqualified stock option granted 12/1/1999; grant vested in three equal annual installments beginning 12/1/2000 (grant is fully vested). (6) Nonqualified stock option granted 5/1/2000; grant vests in three equal annual installments beginning 5/1/2001. (7) Nonqualified stock option granted 2/1/2001; grant vests in three equal annual installments beginning 2/1/2002 (8) Nonqualified stock option granted 4/1/2002; grant vests in three equal annual installments beginning 4/1/2003. (9) Nonqualified stock option granted 4/1/2003; grant vests in three equal annual installments beginning 4/1/2004.
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