-----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, AEKc2nRK57AbdL7tdj++hbbU1AuILLWZNNxpGVnh116trvDwdG7XlWPyRTuV/vdQ 1PQis3vMWgLM93YNDbdubQ== 0000806085-05-000038.txt : 20050215 0000806085-05-000038.hdr.sgml : 20050215 20050215165216 ACCESSION NUMBER: 0000806085-05-000038 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050211 FILED AS OF DATE: 20050215 DATE AS OF CHANGE: 20050215 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: 05617783 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 c0001227421d20050215f4f.xml PRIMARY DOCUMENT X0202 4 2005-02-11 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 2005-02-11 4 M 0 300000 31.625 A 1617475.3532 D Common Stock 2005-02-11 4 F 0 100671 94.2431 D 1516804.3532 D Common Stock 2005-02-11 4 F 0 88210 94.2431 D 1428594.3532 D Common Stock 2005-02-11 4 S 0 119 94.49 D 1428475.3532 D Common Stock 2005-02-11 4 S 0 100 94.45 D 1428375.3532 D Common Stock 2005-02-11 4 S 0 300 94.44 D 1428075.3532 D Common Stock 2005-02-11 4 S 0 20600 94.4 D 1407475.3532 D Common Stock 2005-02-11 4 S 0 5500 94.33 D 1401975.3532 D Common Stock 2005-02-11 4 S 0 14500 94.3 D 1387475.3532 D Common Stock 2005-02-11 4 S 0 200 94.28 D 1387275.3532 D Common Stock 2005-02-11 4 S 0 1400 94.27 D 1385875.3532 D Common Stock 2005-02-11 4 S 0 700 94.26 D 1385175.3532 D Common Stock 2005-02-11 4 S 0 1200 94.23 D 1383975.3532 D Common Stock 2005-02-11 4 S 0 17300 94.22 D 1366675.3532 D Common Stock 2005-02-11 4 S 0 19800 94.2 D 1346875.3532 D Common Stock 2005-02-11 4 S 0 12000 94.19 D 1334875.3532 D Common Stock 2005-02-11 4 S 0 7400 94.18 D 1327475.3532 D Common Stock 2005-02-11 4 S 0 10000 94.01 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 2005-02-11 4 M 0 300000 0 D 2005-02-17 Common Stock 300000 0 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 2005-02-15 -----END PRIVACY-ENHANCED MESSAGE-----