-----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, TKuaTxXHDlJ75VnlOdMarwOCoqar6dlHx5EPTga/wR7Cn3BkytbeDxhmuk2PB/1Z 0eqNFicPYgzP4G56YarhxQ== 0000891836-98-000677.txt : 19981106 0000891836-98-000677.hdr.sgml : 19981106 ACCESSION NUMBER: 0000891836-98-000677 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981027 FILED AS OF DATE: 19981105 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: INTERSTATE JOHNSON LANE INC CENTRAL INDEX KEY: 0000771296 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 561470946 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 001-08952 FILM NUMBER: 98738415 BUSINESS ADDRESS: STREET 1: 121 WEST TRADE STREET STREET 2: SUITE 1500 CITY: CHARLOTTE STATE: NC ZIP: 28202 BUSINESS PHONE: 7043799000 MAIL ADDRESS: STREET 1: 121 WEST TRADE ST STE 1500 STREET 2: 121 WEST TRADE ST STE 1500 CITY: CHARLOTTE STATE: NC ZIP: 28202 FORMER COMPANY: FORMER CONFORMED NAME: INTERSTATE SECURITIES INC DATE OF NAME CHANGE: 19881030 COMPANY DATA: COMPANY CONFORMED NAME: WACHOVIA CORP/ NC CENTRAL INDEX KEY: 0000774203 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] OWNER IRS NUMBER: 561473727 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 100 N MAIN ST STREET 2: P O BOX 3099 CITY: WINSTON SALEM STATE: NC ZIP: 27150 BUSINESS PHONE: 9107705000 MAIL ADDRESS: STREET 1: 100 NORTH MAIN ST STREET 2: P O BOX 3099 CITY: WINSTON SALEM STATE: NC ZIP: 27150 FORMER COMPANY: FORMER CONFORMED NAME: FIRST WACHOVIA CORP DATE OF NAME CHANGE: 19910603 3 1 FORM 3 :----------: : FORM 3 : :----------: UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) ================================================================================ 1. Name and Address of Reporting Person* Wachovia Corporation ----------------------------------------------------------------------------- (Last) (First) (Middle) 100 North Main Street ----------------------------------------------------------------------------- (Street) Winston Salem, North Carolina 27101 ----------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Date of Event Requiring Statement (Month/Day/Year) 10/27/98 ----------------------------------------------------------------------------- ================================================================================ 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) 56-1473727 ----------------------------------------------------------------------------- ================================================================================ 4. Issuer Name AND Ticker or Trading Symbol Interstate/Johnson Lane, Inc., IJL ----------------------------------------------------------------------------- ================================================================================ 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) ___ Director _X_ 10% Owner ___ Officer (give title below) _X_ Other (Specify below) ----------------------------------------------------------------------------- ================================================================================ 6. If Amendment, Date of Original (Month/Day/Year) ----------------------------------------------------------------------------- ================================================================================ 7. Individual or Joint/Group Filing (Check applicable line) _X_ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person ----------------------------------------------------------------------------- ================================================================================ TABLE I-NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED
1. Title of Security 2. Amount of Securities 3. Ownership 4. Nature of Indirect Beneficial (Instr. 4) Beneficially Owned Form: Direct Ownership (Instr. 5) (Instr. 4) (D) or Indirect (I) (Instr. 5) - ------------------- -------------------------- --------------------- ------------------------------------------ - --------------------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------------------- * Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) If the Form is filed by more than one Reporting Person, see Instruction 5(b)(v).
FORM 3 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
4. Conver- 5. Ownership sion or Form of Exercise Derivative 6. Nature of 3. Title and Amount of Price of Security: Indirect 2. Date Exercisable Securities Underlying Deri- Direct (D) Beneficial 1. Title of Derivative and Expiration Date Derivative Security vative or Indirect Ownership Security (Instr. 4) (Month/Day/Year) (Instr. 4) Security (I) (Instr. 5) (Instr. 5) - ---------------------- ---------------------- ------------------------------ ------------- ----------------- -------------- Amount or Date Expira- Number Exer- tion of cisable Date Title Shares ------- ---- ----------------- ---------- - ----------------------------------------------------------------------------------------------------------------------------------- Option to purchase + + Common Stock, par 1,289,382 ++ D Interstate/Johnson Lane, value $0.20 per Inc., Common Stock share - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- Explanation of Responses: + Beneficial ownership of 1,289,382 shares reported hereunder is being reported solely as a result of the Stock Option Agreement, dated as of October 27, 1998 (the "Stock Option Agreement"), by and between Wachovia Corporation and Interstate/Johnson Lane, Inc. The option may be exercised in whole or in part, only upon certain events (none of which, as of the date hereof, has occurred), as set forth in the Stock Option Agreement. The option expires upon certain events as set forth in the Stock Option Agreement. The option granted pursuant to the Stock Option Agreement has not yet become exercisable. Wachovia expressly disclaims ownership of such shares. Pursuant to several Shareholder Agreements, dated October 27, 1998, between certain Executive Officers and Directors (the "Shareholder Agreement Participants") of Interstate/Johnson Lane, Inc. ("IJL"), the Shareholder Agreement Participants have agreed to vote approximately 1,759,089 shares of IJL common stock, par value $0.20, in favor of the adoption and approval of the Merger Agreement, dated October 27, 1998, between IJL and Wachovia Corporation. ++ A price per share equal to $30.5625.
/s/ Kenneth W. McAllister 11/5/98 --------------------------------- --------- Kenneth W. McAllister Date ** Signature of Reporting Person ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----