-----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, VwVNm/bPifxi8NtJYVLKfadXB6oKjRGSufJf+KI2nBoftv3UrXpeL8/jOJ+hD5W2 qe9b721z6cxSjWPecrlWAg== 0001127602-09-000291.txt : 20090105 0001127602-09-000291.hdr.sgml : 20090105 20090105123646 ACCESSION NUMBER: 0001127602-09-000291 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: LEHMAN ALICE L CENTRAL INDEX KEY: 0001232074 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10000 FILM NUMBER: 09503409 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 0001232074 LEHMAN ALICE L ONE WACHOVIA CENTER 301 SOUTH COLLEGE STREET CHARLOTTE NC 28288 1 SVP Common Stock 2008-12-31 4 D 0 667.1343 0 D 0 I By 401(k) plan Common Stock 2008-12-31 4 F 0 5356 5.54 D 42521.4303 D Common Stock 2008-12-31 4 D 0 42521.4303 0 D 0 D ESOP (Right to Buy) 54.9375 2008-12-31 4 D 0 1820 0 D 2000-04-20 2009-04-20 Common Stock 1820 0 D ESOP (Right to Buy) 54.9375 2008-12-31 4 D 0 8680 0 D 2000-04-20 2009-04-20 Common Stock 8680 0 D ESOP (Right to Buy) 34.9375 2008-12-31 4 D 0 13500 0 D 2000-12-14 2009-12-14 Common Stock 13500 0 D ESOP (Right to Buy) 37.98 2008-12-31 4 D 0 23870 0 D 2003-04-16 2012-04-16 Common Stock 23870 0 D ESOP (Right to Buy) 37.43 2008-12-31 4 D 0 20187 0 D 2004-04-22 2013-04-22 Common Stock 20187 0 D ESOP 44.65 2008-12-31 4 D 0 14464 0 D 2005-04-19 2014-04-19 Common Stock 14464 0 D ESOP 50.38 2008-12-31 4 D 0 12303 0 D 2006-04-18 2015-04-18 Common Stock 12303 0 D ESOP (Right to Buy) 56.05 2008-12-31 4 D 0 18156 0 D 2007-03-31 2016-03-30 Common Stock 18156 0 D ESOP (Right to Buy) 58.36 2008-12-31 4 D 0 5503 0 D 2008-02-20 2017-02-20 Common Stock 5503 0 D ESOP (Right to Buy) 33.79 2008-12-31 4 D 0 9198 0 D 2009-02-19 2018-02-19 Common Stock 9198 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. 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 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 4/22/04. 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% pe r 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. 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. 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. Alice L. Lehman 2009-01-04 -----END PRIVACY-ENHANCED MESSAGE-----