-----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, F9yT3ME/qXWhUvVfcu27dLFxfAUdGn2gsCnufen/mpHyyJWo+389HsSyRgfNNxVD 9ouDVNLro3QaDJ79r5WrMA== 0000806085-05-000023.txt : 20050209 0000806085-05-000023.hdr.sgml : 20050209 20050209173354 ACCESSION NUMBER: 0000806085-05-000023 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050207 FILED AS OF DATE: 20050209 DATE AS OF CHANGE: 20050209 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: 001-09466 FILM NUMBER: 05589881 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 c0001227421d20050209f4f.xml PRIMARY DOCUMENT X0202 4 2005-02-07 0 0000806085 LEHMAN BROTHERS HOLDINGS INC LEH 0001227421 FULD RICHARD S JR LEHMAN BROTHERS 745 SEVENTH AVENUE NEW YORK NY 10019 1 1 0 0 Chairman of the Board and CEO Common Stock 2005-02-07 4 F 0 48513 93.4157 D 1268962.3532 D Common Stock 2005-02-07 4 F 0 42360 93.4157 D 1226602.3532 D Common Stock 2005-02-07 4 S 0 2500 93.55 D 1224102.3532 D Common Stock 2005-02-07 4 S 0 1100 93.53 D 1223002.3532 D Common Stock 2005-02-07 4 S 0 6600 93.5 D 1216402.3532 D Common Stock 2005-02-07 4 S 0 1200 93.46 D 1215202.3532 D Common Stock 2005-02-07 4 S 0 20300 93.45 D 1194902.3532 D Common Stock 2005-02-07 4 S 0 18300 93.4 D 1176602.3532 D Common Stock 2005-02-07 4 S 0 2400 92.8 D 1174202.3532 D Common Stock 2005-02-07 4 M 0 143300 31.625 A 1317502.3532 D Common Stock 2005-02-08 4 M 0 106700 31.625 A 1424202.3532 D Common Stock 2005-02-08 4 F 0 36206 93.2007 D 1387996.3532 D Common Stock 2005-02-08 4 F 0 31504 93.2007 D 1356492.3532 D Common Stock 2005-02-08 4 S 0 27 93.86 D 1356465.3532 D Common Stock 2005-02-08 4 S 0 190 93.32 D 1356275.3532 D Common Stock 2005-02-08 4 S 0 3800 93.28 D 1352475.3532 D Common Stock 2005-02-08 4 S 0 20000 93.2 D 1332475.3532 D Common Stock 2005-02-08 4 S 0 15000 93.18 D 1317475.3532 D Common Stock 16092 I Shares held by daughter- C Common Stock 16092 I Shares held by daughter- J Common Stock 17277 I Shares held by son Common Stock 34101 I Shares held by GRAT #3 Common Stock 107292 I Shares held by GRAT #5 Common Stock 143983 I Shares held by GRAT #4 Common Stock 166000 I Shares held by GRAT #6 Common Stock 200000 I Shares held by GRAT #7 February 2000 Options 31.625 2005-02-07 4 M 0 143300 0 D 2005-02-17 Common Stock 143300 406700 D February 2000 Options 31.625 2005-02-08 4 M 0 106700 0 D 2005-02-17 Common Stock 106700 300000 D Exercise price paid by delivery of already-owned shares. Applicable taxes due upon exercise of stock options paid by withholding of shares. Exercisable as of August 18, 2004, provided that the options became exercisable sooner in one-third increments when the market price of the Issuer's Common Stock equaled or exceeded certain thresholds for certain periods. Such price targets were met during the fiscal year ended November 30, 2000. Jeffrey A. Welikson, Attorney-in-fact 2005-02-09 -----END PRIVACY-ENHANCED MESSAGE-----