-----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, Fm6QPINiPQkhnfxkyNBJaz6f67vvIhNVVn/E5m+YfsgBjg2jy9Vb1t3rneD6BHoB AQbOFG/crAC0ppzquAqWSw== 0000932440-98-000267.txt : 19981012 0000932440-98-000267.hdr.sgml : 19981012 ACCESSION NUMBER: 0000932440-98-000267 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980930 FILED AS OF DATE: 19981009 SROS: NASD 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: 98723666 BUSINESS ADDRESS: STREET 1: 39 OLD RIDGEBURY ROAD STREET 2: J-4 CITY: DANBURY STATE: CT ZIP: 06817 BUSINESS PHONE: 2032077700 MAIL ADDRESS: STREET 1: 39 OLD RIDGEBURY ROAD STREET 2: J-4 CITY: DANBURY STATE: CT ZIP: 06817-0001 COMPANY DATA: COMPANY CONFORMED NAME: KENNEDY ROBERT D CENTRAL INDEX KEY: 0001017087 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: KELLEY DRYE & WARREN LLP STREET 2: TWO STAMFORD PLAZA, 281 TRESSER BLVD CITY: STAMFORD STATE: CT ZIP: 06901 MAIL ADDRESS: STREET 1: KELLEY DRYE & WARREN LLP STREET 2: TWO STAMFORD PLAZA, 281 TRESSER BLVD CITY: STAMFORD STATE: CT ZIP: 06901 4 1 FORM 4 - 09/30/1998 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 Kennedy, Robert D. 39 Old Ridgebury Road, J-4 Danbury, CT 06817 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 09/30/1998 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 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 |9/11/9|P | |10,000 |A |$12.625 | | | | |8 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |9/11/9|P | |15,000 |A |$12.75 | | | | |8 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |9/11/9|P | |5,000 |A |$13.00 |35,000(1) |D | | |8 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 |$34.36 | | | | | |3/18/|3/18/|Common Stock| | |300,000 |D | | buy) | | | | | | |99(2)|08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Time option (right to |$17.0625|9/29/|A | |200,000 |A |(3) |9/28/|Common Stock|200,000| |200,000(3) |D | | buy) | |98 | | | | | |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Includes 1,000 shares granted pursuant to UCAR International Inc. 1995 Directors Stock Plan. Of such shares, 600 shares have vested and 200 of such shares will vest on January 1 of each of 1999 and 2000. (2) The option to purchase shares of Common Stock will vest on March 18, 1999 provided that the reporting person is the Chairman of the Board on such date. (3) Of such options, (a) 66,666 will vest on September 29, 1999, 66,667 will vest when the closing price of the Common Stock is at least $20.50 for 20 consecutive trading days and 66,667 will vest when the closing price of the Common Stock is at least $24.00 for 20 consecutive trading days or (b) all options will vest on September 29, 2005, if earlier. SIGNATURE OF REPORTING PERSON /s/ Peter B. Mancino, Attorney-in Fact for Robert D. Kennedy DATE October 9, 1998 -----END PRIVACY-ENHANCED MESSAGE-----