-----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, UEhhvpdB+GCXyULJbx4eqEw4QdSJ8nMeM7kWgxy61XveAWVdvvlHNHkuIpNaUCjV FY4VMMkfYjy9b22DHGbqug== 0000912057-96-021697.txt : 19961002 0000912057-96-021697.hdr.sgml : 19961002 ACCESSION NUMBER: 0000912057-96-021697 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19961001 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ULTRAMAR CORP /DE CENTRAL INDEX KEY: 0000887207 STANDARD INDUSTRIAL CLASSIFICATION: PETROLEUM REFINING [2911] IRS NUMBER: 133663331 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11154 FILM NUMBER: 96637797 BUSINESS ADDRESS: STREET 1: TWO PICKWICK PLZ CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2036227000 MAIL ADDRESS: STREET 1: TWO PICKWICK PLAZA STREET 2: THIRD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 COMPANY DATA: COMPANY CONFORMED NAME: DIAMOND SHAMROCK INC CENTRAL INDEX KEY: 0000810316 STANDARD INDUSTRIAL CLASSIFICATION: PETROLEUM REFINING [2911] OWNER IRS NUMBER: 742456753 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: P O BOX 696000 CITY: SAN ANTONIO STATE: TX ZIP: 78230 BUSINESS PHONE: 2106416800 MAIL ADDRESS: STREET 1: P O BOX 696000 CITY: SAN ANTONIO STATE: TX ZIP: 78230 FORMER COMPANY: FORMER CONFORMED NAME: DIAMOND SHAMROCK R&M INC DATE OF NAME CHANGE: 19900207 3 1 FORM 3
- -------- U. S. SECURITIES AND EXCHANGE COMMISSION ----------------------------- FORM 3 WASHINGTON, D.C. 20549 OMB APPROVAL - -------- ----------------------------- INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES OMB Number: 3235-0104 Expires: September 30, 1998 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Estimated average burden Section 17(a) of the Public Utility Holding Company Act of 1935 or hours per response .... 0.5 Section 30(f) of the Investment Company Act of 1940 ----------------------------- - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person 2. Date of Event Re- 4. Issuer Name AND Ticker or Trading Symbol quiring Statement Diamond Shamrock, Inc. (Month/Day/Year) Ultramar Corporation - ULR - ------------------------------------------------- ------------------------------------------------------------ (Last) (First) (Middle) 9/22/96 5. Relationship of Reporting Person 6. If Amendment, ----------------------- to Issuer (Check all applicable) Date of Original 3. IRS or Social Se- Director X 10% Owner (Month/Day/Year) curity Number of ---- ---- 9830 Colonnade Boulevard Reporting Person Officer (give Other (specify --------------------- - ------------------------------------------------- (Voluntary) title below) below) (Street) ---- ---- --------------------------- San Antonio Texas 78232 - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) TABLE I -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Amount of Securities 3. Ownership 4. Nature of Indirect Beneficial Beneficially Owned Form: Direct Ownership (Instr. 5) (Instr. 4) (D) or Indirect (I) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses)
FORM 3 (CONTINUED) TABLE II - DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Date Exer- 3. Title and Amount of Securities 4. Conver- 5. Owner- 6. Nature of Indirect (Instr. 4) cisable and Underlying Derivative Security sion or ship Beneficial Expiration (Instr. 4) Exercise Form of Ownership Date Price of Deriv- (Instr. 5) (Month/Day/ Deri- ative Year) vative Security: -------------------------------------------------- Security Direct Amount (D) or Date Expir- of Indirect Exer- ation Title Number (I) cisable Date of Shares (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ Option * ** Common Stock, par 8,927,500*** $27.20 D n/a value $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: * The option (the "Option") was granted to Diamond Shamrock, Inc. ("Diamond Shamrock") by the issuer pursuant to a Stock Option Agreement, dated September 22, 1996 (the "Option Agreement"), concurrently with, and as an inducement and condition to, Diamond Shamrock entering into an Agreement and Plan of Merger, dated September 22, 1996, between the issuer and Diamond Shamrock (the "Merger Agreement") pursuant to which Diamond Shamrock will merge with and into the issuer. The Option is exercisable upon the first occurrence of any event that results in Diamond Shamrock being entitled to termination fee under the Merger Agreement an ("Purchase Event") ** The Option expires on the earliest to occur of (i) the effective time of the merger of Diamond Shamrock with the issuer pursuant to the Merger Agreement, (ii) 18 months after the first occurrence of a Purchase Event, and (iii) termination of the Merger Agreement prior to the occurrence of a Purchase Event (unless Diamond Shamrock has the right to receive a termination fee following such termination upon the occurrence of certain events, in which case the Option Agreement will not terminate until the later of (a) six months following the time termination fee becomes payable and (b) the expiration of the period in which Diamond Shamrock has such right to receive the termination fee pursuant to the Merger Agreement). *** The number of shares issuable upon exercise of the Option is subject to (i) upward adjustment so that the number of shares equals 19.9% of the outstanding shares of Common Stock on the date of the Option is exercised, (ii) customary anti-dilution adjustments, and (iii) a cap on the number of shares the effect of which is to limit the value of the option to no more than $60 million. DIAMOND SHAMROCK, INC. By /s/ Timothy J. Fretthold October 1, 1996 ------------------------------------------------------ --------------- **Signature of Reporting Person Date Timothy J. Fretthold Senior Vice President/Group Executive and General Counsel ** 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.
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