-----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, BEIUp+I5cVV7pyvUuIMCokIT0Pxz0TBjY/+zqBk7mfkQfLMjyHjEZwaEU+2iMxSY 3dhaJlkwd889kjClHZPm1g== 0001032099-01-500004.txt : 20020412 0001032099-01-500004.hdr.sgml : 20020412 ACCESSION NUMBER: 0001032099-01-500004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011130 FILED AS OF DATE: 20011207 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: 1934 Act SEC FILE NUMBER: 001-11154 FILM NUMBER: 1808369 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: GAULIN JEAN CENTRAL INDEX KEY: 0001032099 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: P O BOX 696000 CITY: SAN ANTONIO STATE: TX ZIP: 78269-6000 BUSINESS PHONE: 2105924335 MAIL ADDRESS: STREET 1: P O BOX 696000 CITY: SAN ANTONIO STATE: TX ZIP: 78269-6000 4 1 edgar.txt FORM 4 - NOVEMBER 30, 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 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 November 30, 2001 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Chairman, President and Chief Executive Officer 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 |11/14/|M | |75,000 |A |$29.00 | | | | |01 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |11/14/|F | |43,887 |D |$49.56 | | | | |01 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |11/14/|F | |9,008 |D |$49.56 | | | | |01 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |11/14/|M | |105,000 |A |$18.00 | | | | |01 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |11/14/|F | |38,136 |D |$49.56 | | | | |01 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |11/14/|F | |19,358 |D |$49.56 |358,788 (b) |D | | |01 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 |$29.00 |11/14|M | |75,000 |D |12/03|01/26|Common Stock|75,000 | | | | | (right to buy) (g) | |/01 | | | | |/96 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee stock option |$49.56 |11/14|A |V|43,887 |A |11/14|01/26|Common Stock|43,887 | | | | | (right to buy) (g) | |/01 | | | | |/03 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee stock option |$18.00 |11/14|M | |105,000 |D |01/26|01/26|Common Stock|105,000| | | | | (right to buy) (g) | |/01 | | | | |/96 |/03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee stock option |$49.56 |11/14|A |V|38,136 |A |11/14|01/26|Common Stock|38,136 | |929,748 |D | | (right to buy) (g) | |/01 | | | | |/03 |/03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (b) 96,800 of such shares were issued pursuant to Long Term Incentive Plans and remain subject to forfeiture as of Noember, 2001. (g) Employee Stock option granted under the Company's Long-Term Incentive Plans. SIGNATURE OF REPORTING PERSON /s/ JEAN GAULIN (Power of Attorney) DATE December 7, 2001 -----END PRIVACY-ENHANCED MESSAGE-----