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).
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1. Name and Address of Reporting Person*
Narwold Karen G.
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(Last) (First) (Middle)
c/o UCAR International Inc.
3102 West End Avenue
Suite 1100
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(Street)
Nashville TN 37203
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
UCAR International Inc.
UCR
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3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
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4. Statement for Month/Year
09/30/2001
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5. If Amendment, Date of Original (Month/Year)
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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 & Secretary
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7. Individual or Joint/Group Filing (Check applicable line)
[X] Form filed by one Reporting Person
[_] Form filed by more than one Reporting Person
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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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)
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Common Stock 8,540 D
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Common Stock 708 I (1)
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* 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) (Over)
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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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)
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Common
Stock,
par value
Performance Option $.01 per
(right to buy) $7.60 12/08/97 1/25/07 share 1,746 1,746 D
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Common
Stock,
par value
Time Option $.01 per
(right to buy) $35.00 (2) 2/08/06 share 8,000 8,000 D
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Common
Stock,
par value
Time Option $.01 per
(right to buy) $39.31 (3) 2/10/07 share 2,000 2,000 D
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Common
Stock,
par value
Time Option $.01 per
(right to buy) $37.60 2/10/98 2/10/07 share 10,000 10,000 D
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Common
Stock,
par value
Time Option $.01 per
(right to buy) $17.06 (4) 9/29/08 share 9,000 9,000 D
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Common
Stock,
par value
Time Option $.01 per
(right to buy) $15.50 (5) 12/17/08 share 36,000 36,000 D
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Common
Stock,
par value
Time Option $.01 per
(right to buy) $14.00 2/28/05 2/28/10 share 20,000 20,000 D
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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
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Common
Stock,
par value
Time Option $.01 per
(right to buy) $8.85 9/25/01 A 57,500 (6) 9/25/11 share 57,500 57,500 D
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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
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 day 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) 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.
/s/ Karen G. Narwold October 10, 2001
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**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.
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