-----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, LfR2bWdB8rbwPhtdWjN0lkLWO6RHcHs+XzYsbibtDk0AYpatzJPE8E0Er0VQVtKs UNa+1vKLn59mQ/Nk34HqXQ== 0001019718-01-500003.txt : 20010611 0001019718-01-500003.hdr.sgml : 20010611 ACCESSION NUMBER: 0001019718-01-500003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010531 FILED AS OF DATE: 20010608 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: 4 SEC ACT: SEC FILE NUMBER: 001-11154 FILM NUMBER: 1656754 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: 4 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 4 1 edgar.txt FORM 4 - MAY 31, 2001 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Klesse, William R. P.O. Box 696000 San Antonio, Texas 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 May 31, 2001 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Executive Vice President - Operations 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 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 | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock |5/30/0|M | |10,000 |A |$30.125 | | | | |1 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/30/0|S | |10,000 |D |$51.43 | | | | |1 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/30/0|M | |6,732 |A |$27.21 | | | | |1 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/30/0|F | |3,562 |D |$51.43 | | | | |1 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/30/0|F | |934 |D |$51.43 | | | | |1 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/30/0|M | |2,754 |A |$23.53 | | | | |1 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/30/0|F | |1,260 |D |$51.43 | | | | |1 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/30/0|F | |440 |D |$51.43 | | | | |1 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/30/0|M | |4,998 |A |$25.37 | | | | |1 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/30/0|F | |2,466 |D |$51.43 | | | | |1 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/30/0|F | |746 |D |$51.43 | | | | |1 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/30/0|M | |14,178 |A |$29.17 | | | | |1 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/30/0|F | |8,041 |D |$51.43 | | | | |1 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/30/0|F | |1,808 |D |$51.43 | | | | |1 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/30/0|M | |37,616 |A |$30.125 | | | | |1 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/30/0|F | |22,034 |D |$51.43 | | | | |1 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/30/0|F | |4,590 |D |$51.43 |103,349 (b) |D | | |1 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | | |7,609.84 (d) |I |(d) | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price 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 |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Employee stock option |$30.125 |5/30/|M | |10,000 |D |5/11/|12/19|Common Stock|10,000 | | | | | (right to buy) (g) | |01 | | | | |01 |/01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee stock option |$27.21 |5/30/|M | |6,732 |D |1/31/|1/31/|Common Stock|6,732 | | | | | (right to buy) (g) | |01 | | | | |97 |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee stock option |$51.43 |5/30/|A |V|3,562 |A |5/30/|1/31/|Common Stock|3,562 | | | | | (right to buy) (g) | |01 | | | | |03 |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee stock option |$23.53 |5/30/|M | |2,754 |D |2/6/9|2/6/0|Common Stock|2,754 | | | | | (right to buy) (g) | |01 | | | | |8 |5 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee stock option |$51.43 |5/30/|A |V|1,260 |A |5/30/|2/6/0|Common Stock|1,260 | | | | | (right to buy) (g) | |01 | | | | |03 |5 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee stock option |$25.37 |5/30/|M | |4,998 |D |7/31/|7/31/|Common Stock|4,998 | | | | | (right to buy) (g) | |01 | | | | |98 |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee stock option |$51.43 |5/30/|A |V|2,466 |A |5/30/|7/31/|Common Stock|2,466 | | | | | (right to buy) (g) | |01 | | | | |03 |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee stock option |$29.17 |5/30/|M | |14,178 |D |2/5/9|2/5/0|Common Stock|14,178 | | | | | (right to buy) (g) | |01 | | | | |9 |6 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee stock option |$51.43 |5/30/|A |V|8,041 |A |5/30/|2/5/0|Common Stock|8,041 | | | | | (right to buy) (g) | |01 | | | | |03 |6 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee stock option |$30.125 |5/30/|M | |37,616 |D |12/19|12/19|Common Stock|37,616 | | | | | (right to buy) (g) | |01 | | | | |/99 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee stock option |$51.43 |5/30/|A |V|22,034 |A |5/30/|12/19|Common Stock|22,034 | |420,463 |D | | (right to buy) (g) | |01 | | | | |03 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Cash only securities (| | | | | | | | |Common Stock| | |3,728.81 |D | | hh) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (b) 39,500 of such shares were issued pursuant to Long Term Incentive Plans and remain subject to forfeiture as of May 31, 2001. (d) Shares held in the Company's 401(k) Plan. (g) Employee Stock option granted under the Company's Long-Term Incentive Plans. (hh) Cash only securities denominated in Ultramar Diamond Shamrock Corporation stock held in the Company's Excess ESOP Plan for Mr. Klesse's account at December 31, 2000. SIGNATURE OF REPORTING PERSON /s/ WILLIAM R. KLESSE (By Power of Attorney) DATE June 8, 2001 -----END PRIVACY-ENHANCED MESSAGE-----