SC 13G/A 1 g67044gsc13ga.txt WACHOVIA CORPORATION/WACHOVIA BANK NA 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) Wachovia Corporation -------------------------------------------------------------------------------- (Name of Issuer) Common -------------------------------------------------------------------------------- (Title of Class of Securities) 929771103 -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2000 -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ X ] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) 2 CUSIP NO. 929771103 PAGE 2 OF 6 PAGES ------------------ ----- ----- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) a. Wachovia Corporation 56-1473727 --------------------------------------------------------------------- b. Wachovia Bank, National Association 56-0927594 --------------------------------------------------------------------- c. Wachovia Securities, Inc. 56-0276990 --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (See Instructions) (b) [ ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION a. Wachovia Corporation North Carolina --------------------------------------------------------------------- b. Wachovia Bank, National Association United States --------------------------------------------------------------------- c. Wachovia Securities, Inc. North Carolina --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF 5,481,847 SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 3,180,907 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH 3,912,005 -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 8,547,387 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 13,449,686 --------------------------------------------------------------------- (10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.61% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON (See Instructions) a. Wachovia Corporation HC --------------------------------------------------------------------- b. Wachovia Bank, National Association BK --------------------------------------------------------------------- c. Wachovia Securities, Inc. BD --------------------------------------------------------------------- 3 CUSIP No. 929771103 Page 3 of 6 --------- -- --- ITEM 1 (a) NAME OF ISSUER: Wachovia Corporation ITEM 1 (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 100 North Main Street Winston-Salem, North Carolina 27104 ITEM 2 (a) NAME OF PERSONS FILING: Wachovia Corporation, Wachovia Bank, National Association and Wachovia Securities, Inc. ITEM 2 (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: Wachovia Corporation 100 North Main Street Winston-Salem, North Carolina 27104 Wachovia Bank, National Association 100 North Main Street Winston-Salem, North Carolina 27104 Wachovia Securities, Inc. 201 North Tryon Street Charlotte, North Carolina, 28202 ITEM 2 (c) CITIZENSHIP: Wachovia Corporation North Carolina Wachovia Bank, National Association United States Wachovia Securities, Inc. North Carolina ITEM 2 (d) TITLE OF CLASS OF SECURITIES: Common ITEM 2 (e) CUSIP NUMBER: 929771103 4 CUSIP No. 929771103 Page 4 of 6 --------- --- --- ITEM 3 IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1 (B), OR 13D-3 (B) CHECK WHETHER THE PERSON FILING IS A: (a) (X) Broker or Dealer registered under Section 15 of the Act, (Wachovia Securities, Inc.) (b) (X) Bank as defined in Section 3 (a) (6) of the Act, (Wachovia Bank, National Association) (c) ( ) Insurance Company as defined in Section 3 (a) (19) of the Act, (d) ( ) Investment Company registered under Section 8 of the Investment Company Act, (e) ( ) Investment Advisor registered under Section 203 of the Investment Advisor Act of 1940, (f) ( ) Employee Benefit Plan Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund. (g) (X) Parent holding Company, in accordance with 240.13d-1 (b) (ii) (G), (Wachovia Corporation) (h) ( ) Group, in accordance with Rule 13d-1 (b) (1) (ii) (H) ITEM 4 OWNERSHIP: The following information is as of December 31, 2000: (a) Amount Beneficially Owned: 13,449,686 (b) Percent of Class: 6.61% (c) Number of Shares as to which such person has: (i) Sole power to vote or to direct the vote 5,481,847 (ii) Shared power to vote or to direct the vote 3,180,957 (iii) Sole power to dispose or to direct the disposition of 3,912,005 (iv) Shared power to dispose or to direct the disposition of 8,547,387
ITEM 5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: N/A ITEM 6 OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: N/A 5 CUSIP No. 929771103 Page 5 of 6 --------- --- --- ITEM 7 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: Included are the following subsidiaries of Wachovia Corporation - HC: Wachovia Bank, National Association - BK (wholly owned subsidiary of Wachovia Corporation) Wachovia Securities, Inc. - BD (wholly owned subsidiary of Wachovia Corporation) ITEM 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. N/A ITEM 9 NOTICE OF DISSOLUTION OF GROUP. N/A 6 CUSIP No. 929771103 Page 6 of 6 --------- --- --- ITEM 10 CERTIFICATION: By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 12, 2001 For: WACHOVIA CORPORATION By: /s/ William M. Watson, Jr. ---------------------------------------- William M. Watson, Jr. Senior Vice President, Counsel and Secretary For: WACHOVIA BANK, NATIONAL ASSOCIATION By: /s/ William M. Watson, Jr. ---------------------------------------- William M. Watson, Jr. Senior Vice President, Counsel and Secretary For: WACHOVIA SECURITIES, INC. By: /s/ Michael D. Hearn ---------------------------------------- Michael D. Hearn Senior Managing Director AN AGREEMENT TO FILE A JOINT STATEMENT WAS PREVIOUSLY FILED AS EXHIBIT A TO AMENDMENT 2.