-----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, WtBmLNDXZzrT1SJ5bBpA3mrTplowIHrKRUebhWh9oTONXXA92g70xeV9Tder1QFD fSOmf1YDTfq1beeQVJcbsQ== 0001127602-07-001071.txt : 20070315 0001127602-07-001071.hdr.sgml : 20070315 20070315164855 ACCESSION NUMBER: 0001127602-07-001071 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060418 FILED AS OF DATE: 20070315 DATE AS OF CHANGE: 20070315 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: RADY ERNEST S TRUST CENTRAL INDEX KEY: 0001009002 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-10000 FILM NUMBER: 07696961 BUSINESS ADDRESS: STREET 1: 11455 EL CAMINO REAL STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92130-2045 BUSINESS PHONE: 8583502600 MAIL ADDRESS: STREET 1: 11455 EL CAMINO REAL STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92130-2045 3/A 1 form3a.xml PRIMARY DOCUMENT X0202 3/A 2006-04-18 2006-04-28 0 0000036995 WACHOVIA CORP NEW WB 0001009002 RADY ERNEST S TRUST 11455 EL CAMINO REAL SUITE 200 SAN DIEGO CA 92130 1 Common Stock 49443 I Explorer Ins. Common Stock 96892 I Rady Family Foundation Common Stock 5930329 I Ernest Rady Trust Common Stock 372021 I Evelyn Rady Trust Common Stock 614708 I DHM Trust Common Stock 23980269 I American Assets Common Stock 4850422 I Insurance Co. of the West Preferred Stock 4400 D ESOP (Right to Buy) 36.6 2006-03-03 2010-03-03 Common Stock 50996 D ESOP (Right to Buy) 56.05 2007-03-31 2016-03-31 Common Stock 33952 D ESOP (Right to Buy) 33.1 2007-02-18 2009-02-18 Common Stock 16999 D Tax-Exempt Charitable Foundation established under Section 501(c)(3). After initial Form 3 filing, this holding will not be disclosed on any subsequent Form 4 submissions. These shares vest in three equal annual installments beginning 3/3/2006. 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 substantially equal installments on each of the five anniversaries of the date of grant (20% per year) beginning March 31, 2007. As of 4/18/06, includes 5,203 shares of unvested restricted stock with respect to which provisions exist to allow for the withholding of shares to meet certain tax withholding obligations. Ernest S. Rady 2007-03-15 -----END PRIVACY-ENHANCED MESSAGE-----