-----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, FUHKd+ONAGt7TiCY7QAN56/aSJLUL0HH6tayPsY+4srvqn75MSlZ++iCehnoUWN+ UMUANGp79QRw2Gq2GkioNA== 0001032096-97-000001.txt : 19970222 0001032096-97-000001.hdr.sgml : 19970222 ACCESSION NUMBER: 0001032096-97-000001 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19961231 FILED AS OF DATE: 19970214 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: 97534845 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: GUARINO PATRICK J CENTRAL INDEX KEY: 0001032096 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 - DECEMBER 31, 1996 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 Guarino, Patrick J. 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 December 31, 1996 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, General Counsel and Secretary 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)| | ___________________________________________________________________________________________________________________________________| Common Stock | | | | | |14,626.77 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |(c) |P |177.36 |A |(c) |14,804.13 |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 |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 |100,000 |A |(bb) |12/19|Common Stock|100,000|$30.125| |D | | ight to buy)(g) | |/96 | | | | |/01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|$15.00 |12/03|A |28,000 |A |12/03|12/03|Common Stock|28,000 |$15.00 | |D | | ight to buy) | |/96 | | | |/96 |/01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|$18.00 |12/03|A |22,000 |A |12/03|12/03|Common Stock|22,000 |$18.00 | |D | | ight to buy) | |/96 | | | |/96 |/01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|$29.00 |12/03|A |12,000 |A |12/03|12/03|Common Stock|12,000 |$29.00 | |D | | ight to buy) | |/96 | | | |/96 |/01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|$24.25 |12/03|A |40,000 |A |12/03|12/03|Common Stock|40,000 |$24.25 | |D | | ight to buy) | |/96 | | | |/96 |/01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r|$28.25 |12/03|A |38,000 |A |12/03|12/03|Common Stock|38,000 |$28.25 |240,000 |D | | ight to buy) | |/96 | | | |/96 |/01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (c) These shares were acquired pursuant to the Ultramar Corporation Dividend Reinvestment Plan at prices ranging from $28.625 to $31.375 on the following dates: March 14, 1996, June 17, 1996, September 18, 1996 and December 16, 1996. (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 PATRICK J. GUARINO (Power of Attorney) DATE February 14, 1997 -----END PRIVACY-ENHANCED MESSAGE-----