-----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, BfT+iPJe50FZQkC3u5W3KMhJzikL2s1EzO91Fl2VrWuV2cQsDPJ+7R0za9RumdOD q5VBbs4khb8Ahw/5ScyOaw== 0000806085-04-000011.txt : 20040121 0000806085-04-000011.hdr.sgml : 20040121 20040121165610 ACCESSION NUMBER: 0000806085-04-000011 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040116 FILED AS OF DATE: 20040121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDFARB DAVID CENTRAL INDEX KEY: 0001227422 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09466 FILM NUMBER: 04535628 BUSINESS ADDRESS: BUSINESS PHONE: 212 526 0858 MAIL ADDRESS: STREET 1: C/O LEHMAN BROTHERS HOLDINGS INC. STREET 2: 745 SEVENTH AVENUE 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 c0001227422d20040121f4f.xml PRIMARY DOCUMENT X0201 42004-01-1600000806085LEHMAN BROTHERS HOLDINGS INC LEH0001227422GOLDFARB DAVIDLEHMAN BROTHERS745 SEVENTH AVENUENEW YORKNY100190100Chief Financial OfficerCommon Stock2004-01-164M03333325.75A44703DCommon Stock2004-01-164F0798383.7633D36720DCommon Stock2004-01-164S01137083.41D25350D Common Stock2004-01-164S01550083.7D9850DCommon Stock2004-01-164S080083.71D9050DCommon Stock2004-0 1-164S0490083.8D4150DCommon Stock2004-01-164S090083.86D3250DCommon Stock2004-01-16< transactionCoding>4S012083.9D3130DCommon Stock2004-01-164S020083.92D2930DCommon Stock2004-01-164S0220084D730DCommon Stock2004-01-164S073084.02D0D1999 May Options25.752004-01-164< /transactionFormType>M0333330D2004-12-31Common Stock3333333334DApplicable taxes due upon exercise of stock options paid by withholding of shares.Exercisable in one-third increments beginning May 25, 2002, May 25, 2003 and May 25, 2004.Jeffrey A. Welikson, Attorney-in-fact2004-01-21 -----END PRIVACY-ENHANCED MESSAGE-----