-----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, MgsauV5WTlYx7vfCGG17avKFjJyPyRlwaPbLupWj4APx/HktKiMOpBXeP/cFexel INyR69SwVlWaFKTSAMRafg== 0000932440-02-000177.txt : 20020416 0000932440-02-000177.hdr.sgml : 20020416 ACCESSION NUMBER: 0000932440-02-000177 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020331 FILED AS OF DATE: 20020410 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: 1934 Act SEC FILE NUMBER: 001-13888 FILM NUMBER: 02607557 BUSINESS ADDRESS: STREET 1: 1521 CONCORD PIKE STREET 2: SUITE 301 CITY: WILMINGTON STATE: DE ZIP: 19803 BUSINESS PHONE: 3027788227 MAIL ADDRESS: STREET 1: 1521 CONCORD PIKE STREET 2: SUITE 301 CITY: WILMINGTON STATE: DE ZIP: 19803 COMPANY DATA: COMPANY CONFORMED NAME: NARWOLD KAREN G CENTRAL INDEX KEY: 0001095670 OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 3102 WEST END AVENUE STE 1100 CITY: NASHVILLE STATE: TN ZIP: 37203 BUSINESS PHONE: 3019470100 MAIL ADDRESS: STREET 1: 3102 WEST END AVENUE STE 1100 CITY: NASHVILLE STATE: TN ZIP: 37203 4 1 narwoldmar02form4.txt FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [_] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ________________________________________________________________________________ 1. Name and Address of Reporting Person* Narwold, Karen G. - -------------------------------------------------------------------------------- (Last) (First) (Middle) UCAR International Inc. Brandywine West 1521 Concord Pike, Suite 301 - -------------------------------------------------------------------------------- (Street) Wilmington DE 19803 - -------------------------------------------------------------------------------- (City) (State) (Zip) USA ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol UCAR International Inc. UCR ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year 3/31/2002 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) [_] Director [_] 10% Owner [X] Officer (give title below) [_] Other (specify below) Vice President, General Counsel, Human Resources & Secretary ________________________________________________________________________________ 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 ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 8,540 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 708 I (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/1/02 A 16,500(8) A -- 16,500(8) D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
* If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Response) Page 1 of 3 (Over) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value, Performance Option $.01 per (right to buy) $7.60 12/08/97 01/25/07 share 1,746 1,746 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value, Time Option $.01 per (right to buy) $35.00 (2) 02/08/06 share 8,000 8,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value, Time Option $.01 per (right to buy) $39.31 (3) 02/10/07 share 2,000 2,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value, Time Option $.01 per (right to buy) $37.60 02/10/98 02/10/07 share 10,000 10,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value, Time Option $.01 per (right to buy) $17.06 (4) 09/29/08 share 9,000 9,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value, Time Option $.01 per (right to buy) $15.50 (5) 12/17/08 share 36,000 36,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value, Time Option $.01 per (right to buy) $22.81 (6) 10/01/09 share 10,000 10,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value, Time Option $.01 per (right to buy) $14.00 02/28/05 02/28/10 share 20,000 20,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value, Time Option $.01 per (right to buy) $8.56 12/15/02 12/15/10 share 50,000 50,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value, Time Option $.01 per (right to buy) $8.85 (7) 09/25/11 share 57,500 57,500 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: /s/ Karen G. Narwold April 10, 2002 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date Karen G. Narwold ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Page 2 of 3 EXPLANATION OF RESPONSES: Reporting Person Narwold, Karen G. Issuer Name UCAR International Inc. Address UCAR International Inc. Brandywine West 1521 Concord Pike, Suite 301 Wilmington, DE 19803 (1) Represents the number of units attributable to the reporting person's participation in the Company Stock Fund option of the UCAR Carbon Savings Plan. (2) 2,000 of such options became exercisable on May 2, 1996 and 2,000 of such options became exercisable on August 28, 1997. In addition, the reporting person was granted 4,000 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) 500 of such options became exercisable on May 2, 1996 and 500 of such options became exercisable on August 28, 1997. In addition, the reporting person was granted 1,000 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 10, 2005. (4) Of such options, 3,000 vested on each of May 21, 1999, July 14, 1999 and September 29, 1999. (5) Of such options, 12,000 vested on each of May 21, 1999, July 14, 1999 and December 17, 1999. (6) Of such options, 3,333 vested on October 1, 2000 and 6,667 will vest upon the earlier of (i) October 1, 2006 or (ii) as to 3,333 of such options, the date on which the closing price of the Company's Common Stock has been at least $27.40 for 20 consecutive trading days and as to the remaining 3,334 of such options, the date on which the closing price of the Company's Common Stock has been at least $31.90 for 20 consecutive trading days. (7) Options were granted as part of an annual grant. Of such options, 12,500 vested on September 25, 2001 and 45,000 will vest on September 25, 2003. (8) Of such shares, 8,250 will vest on each of February 1, 2003 and February 1, 2004, provided that the reporting person is still employed by UCAR on those dates. Page 3 of 3 -----END PRIVACY-ENHANCED MESSAGE-----