-----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, BVDLBsUN0pnsp4vsxj9s2OAaijMJWsO7a1FLDNr/k5HdBfAZXaPm87vdsdV+P9j7 pnRgFcWhRY+XoHpXtAFCtw== 0001127602-09-000285.txt : 20090105 0001127602-09-000285.hdr.sgml : 20090105 20090105122606 ACCESSION NUMBER: 0001127602-09-000285 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090105 DATE AS OF CHANGE: 20090105 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: JENKINS BENJAMIN P III CENTRAL INDEX KEY: 0001232069 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10000 FILM NUMBER: 09503344 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 X0303 4 2008-12-31 1 0000036995 WACHOVIA CORP NEW WB 0001232069 JENKINS BENJAMIN P III WACHOVIA CORPORATION ONE WACHOVIA CENTER CHARLOTTE NC 28288 1 Vice Chairman, Pres. Gen. Bank Common Stock 2008-12-31 4 D 0 37200 0 D 0 I By spouse Common Stock 2008-12-31 4 D 0 114805 0 D 0 I by BPJ Trust Common Stock 2008-12-31 4 D 0 33344.555 0 D 0 I By 401(k) plan Common Stock 2008-12-31 4 F 0 39762 5.54 D 216419 D Common Stock 2008-12-31 4 D 0 216419 0 D 0 D ESOP (Right to Buy) 54.9375 2008-12-31 4 D 0 631 0 D 2000-04-20 2009-04-19 Common Stock 631 0 D ESOP (Right to Buy) 54.9375 2008-12-31 4 D 0 25969 0 D 2000-04-20 2009-04-19 Common Stock 25969 0 D ESOP (Right to Buy) 34.9375 2008-12-31 4 D 0 40500 0 D 2000-12-14 2009-12-14 Common Stock 40500 0 D ESOP (Right to Buy) 31.5625 2008-12-31 4 D 0 94500 0 D 2001-01-03 2010-01-03 Common Stock 94500 0 D ESOP (Right to Buy) 27.5625 2008-12-31 4 D 0 240000 0 D 2001-10-17 2010-10-17 Common Stock 240000 0 D ESOP (Right to Buy) 30.40 2008-12-31 4 D 0 175000 0 D 2002-04-17 2011-04-17 Common Stock 175000 0 D ESOP (Right to Buy) 34.92 2008-12-31 4 D 0 209300 0 D 2003-12-31 2011-07-31 Common Stock 209300 0 D ESOP (Right to Buy) 37.98 2008-12-31 4 D 0 237342 0 D 2003-04-16 2012-04-16 Common Stock 237342 0 D ESOP (Right to Buy) 37.43 2008-12-31 4 D 0 237490 0 D 2004-04-22 2013-04-22 Common Stock 237490 0 D ESOP 44.65 2008-12-31 4 D 0 157143 0 D 2005-04-19 2014-04-19 Common Stock 157143 0 D ESOP 50.38 2008-12-31 4 D 0 144992 0 D 2006-04-18 2015-04-18 Common Stock 144992 0 D ESOP (Right to Buy) 56.05 2008-12-31 4 D 0 180136 0 D 2007-03-31 2016-03-30 Common Stock 180136 0 D ESOP (Right to Buy) 58.36 2008-12-31 4 D 0 59260 0 D 2008-02-20 2017-02-20 Common Stock 59260 0 D ESOP (Right to Buy) 41.00 2008-12-31 4 D 0 52143 0 D 2009-02-19 2018-02-19 Common Stock 52143 0 D ESOP (Right to Buy) 48.00 2008-12-31 4 D 0 60833 0 D 2009-02-19 2018-02-19 Common Stock 60833 0 D ESOP (Right to Buy) 33.79 2008-12-31 4 D 0 114974 0 D 2009-02-19 2018-02-19 Common Stock 114974 0 D Shares disposed of in the merger between Wachovia Corporation and Wells Fargo & Company pursuant to which each share of Wachovia Corporation common stock was exchanged for .1991 shares of Wells Fargo common stock. Includes 143,718 shares of unvested restricted stock with respect to which provisions exist to allow for the withholding of shares to satisfy tax withholding obligations. 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. In the merger of Wachovia Corporation and Wells Fargo & Company, each outstanding option to purchase Wachovia Corporation common stock was converted to an option to purchase Wells Fargo stock on substantially the same terms, except that the number of options was adjusted by multiplying the number of Wachovia Corporation options by .1991 and the exercise price was adjusted by dividing the Wachovia Corporation exercise price by .1991. 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 vests in the following increments: 80,000 shares on 10/17/01, 10/17/02 and 10/17/03. The option vests in equal increments on 4/17/02, 4/17/03 and 4/17/04. The option vests in three equal annual 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. ISO - 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 substantially equal installments on each of the five anniversaries of the date of grant (20% per year), beginning April 19, 2005. Provisions exist with respect to these shares to allow for the witholding of shares to satisfy tax witholding obligations and the witholding 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 April 18, 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. 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 Feb 20, 2008. 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 Feb. 19, 2009. Benjamin P. Jenkins, III 2009-01-04 -----END PRIVACY-ENHANCED MESSAGE-----