-----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, Cgk9exPEKhwG73UfYZroXxchEVC2ypBepyO3pxVDFpH4fzBG/95Q8B8Nc4bFrVUB ZI3pse9HAfDdd6n9u55tOQ== 0000887207-97-000045.txt : 19970409 0000887207-97-000045.hdr.sgml : 19970409 ACCESSION NUMBER: 0000887207-97-000045 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970214 FILED AS OF DATE: 19970408 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ULTRAMAR DIAMOND SHAMROCK CORP 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: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11154 FILM NUMBER: 97576318 BUSINESS ADDRESS: STREET 1: 9830 COLONNADE STREET 2: P O BOX 696000 CITY: SAN ANTONIO STATE: TX ZIP: 78269-6000 BUSINESS PHONE: 2106416800 MAIL ADDRESS: STREET 1: TWO PICKWICK PLAZA STREET 2: THIRD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 FORMER COMPANY: FORMER CONFORMED NAME: ULTRAMAR CORP /DE DATE OF NAME CHANGE: 19930328 COMPANY DATA: COMPANY CONFORMED NAME: GAULIN JEAN CENTRAL INDEX KEY: 0001032099 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: P O BOX 696000 CITY: SAN ANTONIO STATE: TX ZIP: 78269-6000 BUSINESS PHONE: 2106418776 MAIL ADDRESS: STREET 1: P O BOX 696000 CITY: SAN ANTONIO STATE: TX ZIP: 78269-6000 5 1 FORM 5 - FEBRUARY 14, 1997 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). ( ) Form 3 Holdings Reported ( ) Form 4 Transactions Reported 1. Name and Address of Reporting Person Gaulin, Jean P.O. Box 696000 San Antonio, TX 78269-6000 2. Issuer Name and Ticker or Trading Symbol Ultramar Diamond Shamrock Corporation (UDS) 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year February 14, 1997 5. If Amendment, Date of Original (Month/Year) February 14, 1997 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Vice Chairman, President and Chief Operating Officer 7. Individual or Joint/Group Reporting (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | |Transaction| or Disposed of (D) | Securities |ect | Beneficial Ownership | |Date |Code| | Beneficially |(D)or | | | | | | A/| | Owned at |Indir | | | | | Amount | D | Price | End of Year |ect(I)| | ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer |Date |Code| rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise Pr | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |ice of | | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity | | | Amount | |ble | | | |Year |(I)| | ___________________________________________________________________________________________________________________________________| Employee Stock Option (r|$30.125 |12/19|A |350,000 |A |(bb) | 12/1|Common Stock|350,000|$30.125| |D | | ight to buy)(g) | |/96 | | | | |9/01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|$15.00 |12/03|A |80,000 |A |12/03|07/21|Common Stock|80,000 |$15.00 | |D | | ight to buy) | |/96 | | | |/96 |/02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|$18.00 |12/03|A |105,000 |A |12/03|01/26|Common Stock|105,000|$18.00 | |D | | ight to buy) | |/96 | | | |/96 |/03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|$29.00 |12/03|A |75,000 |A |12/03|01/26|Common Stock|75,000 |$29.00 | |D | | ight to buy) | |/96 | | | |/96 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|$24.25 |12/03|A |126,500 |A |12/03|01/26|Common Stock|126,500|$24.25 | |D | | ight to buy) | |/96 | | | |/96 |/05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|$28.25 |12/03|A |130,000 |A |12/03|02/01|Common Stock|130,000|$28.25 |866,500 |D | | ight to buy) | |/96 | | | |/96 |/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (g) Employee Stock Option granted under Ultramar Diamond Shamrock Corporation's 1996 Long Term Incentive Plan. (bb) Option granted to reporting person under Long Term Incentive Plan exempt under Rule 16b-3. The option automatically vests in four and one-half years. The option will vest 50% if Ultramar Diamond Shamrock Corporation common stock has a value of $36.00 or more on the New York Stock Exchange for 30 consecutive trading days. The option will vest 100% if Ultramar Diamond Shamrock Corporation common stock has a value of $45.00 or more on the New York Stock Exchange for 30 consecutive trading days. SIGNATURE OF REPORTING PERSON /s/ JEAN GAULIN (Power of Attorney) DATE April 8, 1997 -----END PRIVACY-ENHANCED MESSAGE-----