-----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, GokBb9hsfoY2ANadG/LLL/Xnr2WXYpnEcXDTDiF9U7hKKvMwBY1MFl7LolzWx3X+ Z8we+rlo6oiXlh3vKsQ75Q== 0000806085-03-000210.txt : 20031203 0000806085-03-000210.hdr.sgml : 20031203 20031203161702 ACCESSION NUMBER: 0000806085-03-000210 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031201 FILED AS OF DATE: 20031203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FULD RICHARD S JR CENTRAL INDEX KEY: 0001227421 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11763 FILM NUMBER: 031035521 MAIL ADDRESS: STREET 1: C/O LEHMAN BROTHERS HOLDING INC STREET 2: 745 SEVENTH AVE CITY: NEW YORK STATE: NY ZIP: 10019 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LEHMAN BROTHERS HOLDINGS INC CENTRAL INDEX KEY: 0000806085 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 133216325 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 BUSINESS ADDRESS: STREET 1: LEHMAN BROTHERS STREET 2: 745 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125267000 MAIL ADDRESS: STREET 1: LEHMAN BROTHERS STREET 2: 745 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: SHEARSON LEHMAN HUTTON HOLDINGS INC DATE OF NAME CHANGE: 19901017 4 1 primary_doc.xml PRIMARY DOCUMENT X0201 4 2003-12-01 0 0000806085 LEHMAN BROTHERS HOLDINGS INC leh 0001227421 FULD RICHARD S JR C/O LEHMAN BROTHERS 745 SEVENTH AVE NEW YORK NY 10019 1 1 0 0 Chairman of the Board and CEO Common Stock 2003-12-01 4 M 0 9412.93 0 A 1151560.0182 D Common Stock 2003-12-01 4 M 0 325061.07 0 A 1476621.0882 D Common Stock 2003-12-01 4 F 0 118588 72.21 D 1358033.0882 D Common Stock 2000 I Daughter- C Common Stock 2000 I Daughter- J Common Stock 34595 I GRAT #1 Common Stock 3186 I Son Common Stock 48050 I GRAT #2 Common Stock 67992 I GRAT #3 Common Stock 150000 I GRAT #5 Common Stock 200000 I GRAT #4 1998 Restricted Stock Units 0 2003-12-01 4 M 0 325061.07 0 D 2003-12-01 2003-12-01 Common Stock 325061.07 0 D 1998 RSU Dividend 0 2003-12-01 4 A 0 2438.22 0 A 2003-12-01 2003-12-01 Common Stock 2438.22 9412.93 D 1998 RSU Dividend 0 2003-12-01 4 M 0 9412.93 0 D 2003-12-01 2003-12-01 Common Stock 9412.93 0 D Includes shares held in various benefit plans. Applicable taxes due upon conversion of RSUs paid by withholding of shares. Restricted Stock Units which were previously earned and reported converted to freely transferable Common Stock on December 1, 2003. Dividends paid on various dates. Total of all Restricted Stock Units received to date as dividends on the related Restricted Stock Unit award. Jeffrey A. Welikson, Attorney-in-fact 2003-12-03 -----END PRIVACY-ENHANCED MESSAGE-----