-----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, HDTKaCPwE+jBSwyITA0D6AmW9/TeVlbdQ041KasgsDxHeYQSlaDVcdgxg3SO06Rx qgOWsl7ldyQVicoOxPuTTg== 0001032098-00-000011.txt : 20000523 0001032098-00-000011.hdr.sgml : 20000523 ACCESSION NUMBER: 0001032098-00-000011 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970214 FILED AS OF DATE: 20000522 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: SEC FILE NUMBER: 001-11154 FILM NUMBER: 640856 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: SMTIH H PETE CENTRAL INDEX KEY: 0001032098 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 Smith, H. Pete 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) April 18, 1997 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 and Chief Financial 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)| | ___________________________________________________________________________________________________________________________________| Common Stock | | | | | |13,217.62(a)(c) |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| |12/19|A |4,000 |A |(aa) |12/19|Common Stock|4,000 |$30.125| |D | | ight to buy)(g) | |/96 | | | | |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r| |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| |12/03|A |40,000 |A |(cc) |07/21|Common Stock|40,000 |$15.00 | |D | | ight to buy) | |/96 | | | | |/02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r| |12/03|A |20,000 |A |(dd) |01/26|Common Stock|20,000 |$18.00 | |D | | ight to buy) | |/96 | | | | |/03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r| |12/03|A |16,000 |A |12/03|01/26|Common Stock|16,000 |$29.00 | |D | | ight to buy) | |/96 | | | |/96 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r| |12/03|A |26,500 |A |12/03|01/26|Common Stock|26,500 |$24.25 | |D | | ight to buy) | |/96 | | | |/96 |/05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option (r| |12/03|A |30,000 |A |12/03|02/01|Common Stock|30,000 |$28.25 |236,500 |D | | ight to buy) | |/96 | | | |/96 |/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (a) This balance includes 1,046 shares which were formerly reported as restricted shares. The restrictions on these shares lapsed on December 3, 1996. (c) 375.86 of 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 Options granted under Ultramar Diamond Shamrock Corporation's 1996 Long Term Incentive Plan. (aa) Options granted to reporting person under Long Term Incentive Plan in transactions exempt under Rule 16b-3. The options became exercisable in 30%, 30% and 40% increments on December 19, 1997, December 19, 1998 and December 19, 1999, respectively. (bb) Options granted to reporting person under Long Term Incentive Plan in transactions exempt under Rule 16b-3. The options automatically vest in four and one-half years from grant date. The options 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 options 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. (cc) Options granted to reporting person under Long Term Incentive Plan in transactions exempt under Rule 16b-3. The options became exercisable in 30%, 30% and 40% increments on July 21, 1993, July 21, 1994 and July 21, 1995, respectively. (dd) Options granted to reporting person under Long Term Incentive Plan in transactions exempt under Rule 16b-3. The options became exercisable in 30%, 30% and 40% increments on January 26, 1994, January 26, 1995, and January 26, 1996, respectively. SIGNATURE OF REPORTING PERSON H. PETE SMITH (Power of Attorney) DATE May 22, 2000 -----END PRIVACY-ENHANCED MESSAGE-----