-----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, RgxRaDIOt1ykBVAOjhFD6cA5xXLvlfA8B/DobBcU71qxPCH4IwwZWTTHDXDOPGt3 JyrETBow/D7nMB6/V0r5nQ== 0001127602-06-002664.txt : 20061115 0001127602-06-002664.hdr.sgml : 20061115 20061115113135 ACCESSION NUMBER: 0001127602-06-002664 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061114 FILED AS OF DATE: 20061115 DATE AS OF CHANGE: 20061115 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: KELLY STANHOPE A CENTRAL INDEX KEY: 0001232072 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10000 FILM NUMBER: 061218610 BUSINESS ADDRESS: STREET 1: 301 S COLLEGE ST STREET 2: 30TH FLOOR NC0630 CITY: CHARLOTTE STATE: NC ZIP: 29299-0630 BUSINESS PHONE: 7043837944 4 1 form4.xml PRIMARY DOCUMENT X0202 4 2006-11-14 0000036995 WACHOVIA CORP NEW WB 0001232072 KELLY STANHOPE A WACHOVIA CORPORATION 932 KENLEIGH CIRCLE WINSTON SALEM NC 27106 1 SEVP, Pres of Wealth Mgmt. Common Stock 2006-11-14 4 M 0 22998 28.63 A 164470.0436 D Common Stock 2006-11-14 4 S 0 16608 55.5341 D 147862.0436 D Common Stock 2006-11-14 4 M 0 7002 28.63 A 154864.0436 D Common Stock 2006-11-14 4 S 0 3617 55.51 D 151247.0436 D Common Stock 1615 I By Daughter 2 (HK) Common Stock 1865 I By Daughter Common Stock 1672.1926 I By RSPSP Trust/401k ESOP (Right to Buy) 28.63 2006-11-14 4 M 0 22998 0 D 1998-01-24 2007-01-24 Common Stock 22998 0 D ESOP (Right to Buy) 28.63 2006-11-14 4 M 0 7002 0 D 1998-01-24 2007-01-24 Common Stock 7002 0 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 option becomes exercisable in 20% increments on each of January 24, 1998, 1999, 2000, 2001, and 2002, 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 exercise of certain options in any one year is limited to $100,000.00. As of 11/14/06, includes 45,811 shares of unvested restricted stock with respect to which provisions exist to allow for the withholding of shares to satisfy tax withholding obligations. Stanhope A. Kelly 2006-11-14 -----END PRIVACY-ENHANCED MESSAGE-----