-----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, UFlyacR2vxNH2tBBD70yOePCKVMrTryESSFKR+ljhjwbFp8Sinfq2TdVmwofahC+ rHNyjIkaH0yUuuaLsTMKKQ== 0001127602-06-000921.txt : 20060420 0001127602-06-000921.hdr.sgml : 20060420 20060420161757 ACCESSION NUMBER: 0001127602-06-000921 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060418 FILED AS OF DATE: 20060420 DATE AS OF CHANGE: 20060420 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: WACHOVIA CORP NEW CENTRAL INDEX KEY: 0000036995 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 560898180 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE WACHOVIA CTR CITY: CHARLOTTE STATE: NC ZIP: 28288-0013 BUSINESS PHONE: 7043746565 MAIL ADDRESS: STREET 1: ONE WACHOVIA CENTER CITY: CHARLOTTE STATE: NC ZIP: 28288-0013 FORMER COMPANY: FORMER CONFORMED NAME: FIRST UNION CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: CAMERON FINANCIAL CORP DATE OF NAME CHANGE: 19750522 FORMER COMPANY: FORMER CONFORMED NAME: FIRST UNION NATIONAL BANCORP INC DATE OF NAME CHANGE: 19721115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Enos Gerald Adams JR CENTRAL INDEX KEY: 0001359819 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10000 FILM NUMBER: 06770219 BUSINESS ADDRESS: BUSINESS PHONE: 704.383.7436 MAIL ADDRESS: STREET 1: 301 SOUTH COLLEGE STREET CITY: CHARLOTTE STATE: NC ZIP: 28288 3 1 form3.xml PRIMARY DOCUMENT X0202 3 2006-04-18 0 0000036995 WACHOVIA CORP NEW WB 0001359819 Enos Gerald Adams JR WACHOVIA CORPORATION 301 SOUTH COLLEGE STREET CHARLOTTE NC 1 Sr. VP Operations and Tech Common Stock 27368.029 D Common Stock 551.9373 I By 401k Common Stock 2 I By Son ESOP (Right to Buy) 42.91 2000-01-22 2009-01-22 Common Stock 2432 D ESOP (Right to Buy) 42.91 2000-01-22 2009-01-22 Common Stock 8568 D ESOP (Right to Buy) 32 2001-01-28 2010-01-28 Common Stock 3298 D ESOP (Right to Buy) 32 2001-01-28 2010-01-28 Common Stock 876 D ESOP (Right to Buy) 24.34 2001-12-18 2010-12-18 Common Stock 4 D ESOP (Right to Buy) 37.98 2003-04-16 2012-04-16 Common Stock 9796 D ESOP (Right to Buy) 37.43 2004-04-22 2013-04-22 Common Stock 23718 D ESOP (Right to Buy) 44.65 2005-04-19 2014-04-19 Common Stock 22864 D ESOP (Right to Buy) 50.38 2006-04-18 2015-04-18 Common Stock 20777 D ESOP (Right to Buy) 56.05 2007-03-31 2016-03-30 Common Stock 58740 D Provisions exist with respect to these shares to allow for the withholding of shares to satisfy tax withholding obligations and the withholding of shares in payment of the exercise price. The exercise of certain options in any one year is limited to 100,000 dollars. The option becomes exercisable in 20% increments on each of January 22, 2000, 2001, 2002, 2003, and 2004, respectively. Provisions exist with respect to these shares to allow for the withholding of shares to satisfy tax withholding obligations and the withholding of shares in payment of the exercise price. The option becomes exercisable in 20% increments on each of January 28, 2001, 2002, 2003, 2004, and 2005, respectively. The option vests in three equal installments beginning on 4/16/2003. The option becomes exercisable in substantially equal installments on each of the five anniversaries of the date of grant (20% per year), beginning 4/22/2004. The option becomes exercisable in substantially equal installments on each of the five anniversaries of the date of grant (20% per year), beginning 4/19/2005. The option becomes exercisable in substantially equal installments on each of the five anniversaries of the date of grant (20% per year), beginning 4/18/2006. The option becomes exercisable in substantially equal installments on each of the five anniversaries of the date of grant (20% per year), beginning 3/31/2007. As of 4/18/06 includes 24,864 of unvested restricted stock with respect to which provisions exist to allow for the withholding of shares to satisfy tax withholding obligations. Gerald Adams Enos JR 2006-04-20 -----END PRIVACY-ENHANCED MESSAGE-----