-----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, A3zMQWhoREQLs9wd0sf2pMRZ54AKSlzNJVUebxbudjj9qm/AOpN16KuygupA2Lve E3XPPkteiB1w1A8GZMSIdw== 0000932440-01-000040.txt : 20010213 0000932440-01-000040.hdr.sgml : 20010213 ACCESSION NUMBER: 0000932440-01-000040 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001231 FILED AS OF DATE: 20010212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UCAR INTERNATIONAL INC CENTRAL INDEX KEY: 0000931148 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRICAL INDUSTRIAL APPARATUS [3620] IRS NUMBER: 061385548 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-13888 FILM NUMBER: 1533247 BUSINESS ADDRESS: STREET 1: 3102 WEST END AVENUE SUITE 1100 STREET 2: J-4 CITY: NASHVILLE STATE: TX ZIP: 37203 BUSINESS PHONE: 6157068227 MAIL ADDRESS: STREET 1: 3102 WEST END AVENUE SUITE 1100 STREET 2: J-4 CITY: NASHVILLE STATE: TN ZIP: 37203 COMPANY DATA: COMPANY CONFORMED NAME: CATE WILLIAM D CENTRAL INDEX KEY: 0001041750 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O KELLEY DRYE & WARREN LLP STREET 2: TWO STAMFORD PLAZA 281 TRESSER BLVD CITY: STAMFORD STATE: CT ZIP: 06901 BUSINESS PHONE: 2033241400 MAIL ADDRESS: STREET 1: TWO STAMFORD PLAZA STREET 2: 281 TRESSER BLVD CITY: STAMFORD STATE: CT ZIP: 06901 4 1 0001.txt FORM 4 - 12/31/2000 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 Cate, William D. 3102 West End Avenue Suite 1100 Nashville, TN 37203 2. Issuer Name and Ticker or Trading Symbol UCAR International Inc. UCR 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year 12/31/2000 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 - Strategic Alliances & Business Development 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 | | | | | | |30,047 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | | |12,976 |I |(1) | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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)| | ___________________________________________________________________________________________________________________________________| Time option (right to |$7.60 | | | | | |08/09|1/27/|Common Stock|90,924 | |90,924 |D | | buy) | | | | | | |/95 |07 |, par value | | | | | | | | | | | | | | |$.01 per sha| | | | | | | | | | | | | | |re | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Performance option (ri|$7.60 | | | | | |12/08|1/25/|Common Stock|13,963 | |13,963 |D | | ght to buy) | | | | | | |/97 |07 |, par value | | | | | | | | | | | | | | |$.01 per sha| | | | | | | | | | | | | | |re | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Time option (right to |$35.00 | | | | | |(2) |02/08|Common Stock|5,000 | |5,000(2) |D | | buy) | | | | | | | |/06 |, par value | | | | | | | | | | | | | | |$.01 per sha| | | | | | | | | | | | | | |re | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Time option (right to |$17.0625| | | | | |(3) |09/28|Common Stock|50,000 | |50,000(3) |D | | buy) | | | | | | | |/08 |, par value | | | | | | | | | | | | | | |$.01 per sha| | | | | | | | | | | | | | |re | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Time option (right to |$14.00 | | | | | |02/28|02/28|Common Stock|20,000 | |20,000 |D | | buy) | | | | | | |/05 |/10 |, par value | | | | | | | | | | | | | | |$.01 per sha| | | | | | | | | | | | | | |re | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Time option (right to |$8.56 |12/15|A | |50,000 |A |12/15|12/15|Common Stock|50,000 | |50,000 |D | | buy) | |/00 | | | | |/02 |/10 |, par value | | | | | | | | | | | | | | |$.01 per sha| | | | | | | | | | | | | | |re | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Represents the number of units attributable to the reporting person's participation in the Company stock fund option of the UCAR Carbon Savings Program. (2) 2,500 of such options became exercisable on May 2, 1996 and 2,500 of such options became exercisable on August 28, 1997. In addition, the reporting person was granted 5,000 options which will vest upon the earlier of (i) the date on which the closing price of the Company's Common Stock has been at least $50 per share for the previous 20 consecutive trading days or (ii) February 8, 2004. (3) Of such options,16,667 vested on each of May 21, 1999 and July 14, 1999 and 16,666 vested on September 29, 1999. SIGNATURE OF REPORTING PERSON /s/ Karen G. Narwold, Attorney-in-Fact for William D. Cate DATE February 5, 2001 -----END PRIVACY-ENHANCED MESSAGE-----