-----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, NJRqBHpoT589/8CoMQ70vGq1/l/PU1kxnhrZUwxRy5QLVPFVr3TA6mKVWRaoBM0A dCxdE3VzSE91yLVSV8DnTQ== 0001019718-00-000005.txt : 20000214 0001019718-00-000005.hdr.sgml : 20000214 ACCESSION NUMBER: 0001019718-00-000005 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19961203 FILED AS OF DATE: 20000211 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: 3 SEC ACT: SEC FILE NUMBER: 001-11154 FILM NUMBER: 533654 BUSINESS ADDRESS: STREET 1: 6000 N. LOOP 1604 W. STREET 2: P O BOX 696000 CITY: SAN ANTONIO STATE: TX ZIP: 78249-1112 BUSINESS PHONE: 2105922000 MAIL ADDRESS: STREET 1: P O BOX 696000 STREET 2: THIRD FLOOR CITY: SAN ANTONIO STATE: TX ZIP: 78269-6000 FORMER COMPANY: FORMER CONFORMED NAME: ULTRAMAR CORP /DE DATE OF NAME CHANGE: 19930328 COMPANY DATA: COMPANY CONFORMED NAME: KLESSE WILLIAM R CENTRAL INDEX KEY: 0001019718 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: PO BOX 696000 CITY: SAN ANTONIO STATE: TX ZIP: 78269-6000 BUSINESS PHONE: 2106418750 MAIL ADDRESS: STREET 1: PO BOX 696000 CITY: SAN ANTONIO STATE: TX ZIP: 78269-6000 3 1 FORM 3 - 12/03/96 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 1. Name and Address of Reporting Person Klesse, William R. P.O. Box 696000 San Antonio, Texas 78269-6000 2. Date of Event Requiring Statement (Month/Day/Year) 12/03/96 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Issuer Name and Ticker or Trading Symbol Ultramar Diamond Shamrock Corporation (UDS) 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Executive Vice President - Refining, Product Supply and Logistics - Southwest 6. If Amendment, Date of Original (Month/Day/Year) December 11, 1996 7. Individual or Joint/Group Filing (Check Applicable Line) (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 |4. Nature of Indirect | | Securities | Form: | Beneficial Ownership | | Beneficially | Direct(D) or | | | Owned | Indirect(I) | | ___________________________________________________________________________________________________________________________________| Common Stock |27,598 (b) |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5,902 (d) |I |(d) | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Date Exer- |3.Title and Amount | |4. Conver-|5. Owner- |6. Nature of Indirect | Security | cisable and | of Underlying | |sion or |ship | Beneficial Ownership | | Expiration | Securities | |exercise |Form of | | | Date(Month/ |-----------------------|---------|price of |Deriv- | | | Day/Year) | |Amount |deri- |ative | | | Date | Expira- | |or |vative |Security: | | | Exer- | tion | Title |Number of|Security |Direct(D) or | | | cisable | Date | |Shares | |Indirect(I) | | ___________________________________________________________________________________________________________________________________| Employee Stock Option (r|05/13/93 |05/13/01 |Common Stock |5,874 |$25.12 |D | | ight to buy) (g) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|05/20/93 |05/20/01 |Common Stock |4,308 |$24.39 |D | | ight to buy) (g) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|05/26/95 |05/01/99 |Common Stock |1,406 |$22.43 |D | | ight to buy) (g) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|05/26/95 |05/04/02 |Common Stock |2,064 |$22.43 |D | | ight to buy) (g) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|08/16/95 |05/06/01 |Common Stock |3,924 |$24.51 |D | | ight to buy) (g) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|09/01/95 |04/30/00 |Common Stock |3,629 |$24.63 |D | | ight to buy) (g) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|(aa) |01/31/04 |Common Stock |6,732 |$27.21 |D | | ight to buy) (g) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|02/16/96 |02/01/03 |Common Stock |2,159 |$28.43 |D | | ight to buy) (g) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|08/30/96 |05/06/01 |Common Stock |1,516 |$27.21 |D | | ight to buy) (g) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|08/30/96 |05/04/02 |Common Stock |1,276 |$27.21 |D | | ight to buy) (g) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|(bb) |02/06/05 |Common Stock |5,508 |$23.53 |D | | ight to buy) (g) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|(cc) |07/31/05 |Common Stock |4,998 |$25.37 |D | | ight to buy) (g) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|09/20/97 |05/04/02 |Common Stock |1,356 |$25.61 |D | | ight to buy) (g) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|09/20/97 |02/01/03 |Common Stock |1,798 |$25.61 |D | | ight to buy) (g) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|(dd) |02/05/06 |Common Stock |14,178 |$29.17 |D | | ight to buy) (g) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|02/15/98 |02/01/03 |Common Stock |1,497 |$30.76 |D | | ight to buy) (g) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|02/15/98 |02/06/05 |Common Stock |2,809 |$30.76 |D | | ight to buy) (g) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (b) 2,344 of such shares were issued pursuant to Long-Term Incentive plans and remain subject to forfeiture as of December 3, 1996. (d) Held by Trustee of Diamond Shamrock, Inc. Employee Stock Ownership Plans. (g) Employee Stock option granted under Diamond Shamrock's 1990 Long-Term Incentive Plan. (aa) Option granted to reporting person under Long-Term Incentive Plans exempt under rule 16b-3. The option becomes exercisable in 40%, 30% and 30% increments on January 31, 1995, January 31, 1996 and January 31, 1997, respectively. (bb) Option granted to reporting person under Long-Term Incentive Plans exempt under Rule 16b-3. 2,754 shares become exercisable on February 6, 1997 and 2,754 shares become exercisable on February 6, 1998. (cc) Option granted to reporting person under Long-Term Incentive Plans exempt under Rule 16b-3. The option becomes exercisable in 40%, 30% and 30% increments on July 31, 1996, July 31, 1997 and July 31, 1998, respectively. (dd) Option granted to reporting person under Long-Term Incentive Plans exempt under Rule 16b-3. The option becomes exercisable in 40%, 30% and 30% increments on February 5, 1997, February 5, 1998 and February 5, 1999, respectively. SIGNATURE OF REPORTING PERSON /s/ William R. Klesse (By Power of Attorney) DATE February 11, 2000 -----END PRIVACY-ENHANCED MESSAGE-----