-----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, Kc0q/6zwgQ6La4H+M5PwBTX9RMiBJAss/c2NhGgU0NqMLXq6za4auwzak9yAoDqo WbazhHuukfY+VMEj0WRM6g== 0000806085-05-000073.txt : 20050318 0000806085-05-000073.hdr.sgml : 20050318 20050318165916 ACCESSION NUMBER: 0000806085-05-000073 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050316 FILED AS OF DATE: 20050318 DATE AS OF CHANGE: 20050318 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RUSSO THOMAS A CENTRAL INDEX KEY: 0001227438 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09466 FILM NUMBER: 05692247 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 4 1 c0001227438d20050318f4p1f.xml PRIMARY DOCUMENT X0202 4 2005-03-16 0 0000806085 LEHMAN BROTHERS HOLDINGS INC LEH 0001227438 RUSSO THOMAS A LEHMAN BROTHERS 745 SEVENTH AVENUE NEW YORK NY 10019 0 1 0 0 Chief Legal Officer Common Stock 2005-03-16 4 M 0 75000 31.625 A 102214 D Common Stock 2005-03-16 4 M 0 25000 51.125 A 127214 D Common Stock 2005-03-16 4 M 0 25000 46.64 A 152214 D Common Stock 2005-03-16 4 S 0 800 95.11 D 151414 D Common Stock 2005-03-16 4 S 0 4500 95.1 D 146914 D Common Stock 2005-03-16 4 S 0 400 95.09 D 146514 D Common Stock 2005-03-16 4 S 0 3900 95.08 D 142614 D Common Stock 2005-03-16 4 S 0 6200 95.06 D 136414 D Common Stock 2005-03-16 4 S 0 1400 95.05 D 135014 D Common Stock 2005-03-16 4 S 0 2500 95.04 D 132514 D Common Stock 2005-03-16 4 S 0 5000 95.03 D 127514 D Common Stock 2005-03-16 4 S 0 2500 95.01 D 125014 D Common Stock 2005-03-16 4 S 0 12500 95 D 112514 D Common Stock 2005-03-16 4 S 0 500 94.98 D 112014 D Common Stock 2005-03-16 4 S 0 4600 94.97 D 107414 D Common Stock 2005-03-16 4 S 0 5700 94.96 D 101714 D Common Stock 2005-03-16 4 S 0 14700 94.95 D 87014 D Common Stock 2005-03-16 4 S 0 6400 94.94 D 80614 D Common Stock 2005-03-16 4 S 0 500 94.93 D 80114 D Common Stock 2005-03-16 4 S 0 2500 94.91 D 77614 D Common Stock 2005-03-16 4 S 0 1100 94.55 D 76514 D Common Stock 2005-03-16 4 S 0 1000 94.54 D 75514 D Common Stock 2005-03-16 4 S 0 2200 94.53 D 73314 D Common Stock 2005-03-16 4 S 0 3000 94.52 D 70314 D Common Stock 2005-03-16 4 S 0 2000 94.5 D 68314 D Common Stock 2005-03-16 4 S 0 300 94.48 D 68014 D Common Stock 2005-03-16 4 S 0 1700 94.45 D 66314 D Common Stock 2005-03-16 4 S 0 400 94.43 D 65914 D Common Stock 2005-03-16 4 S 0 700 94.42 D 65214 D Common Stock 2005-03-16 4 S 0 300 94.41 D 64914 D December 2000 Options 51.125 2005-03-16 4 M 0 25000 51.125 D 2005-11-30 Common Stock 25000 25000 D September 2001 Options 46.64 2005-03-16 4 M 0 25000 46.64 D 2006-09-19 Common Stock 25000 0 D 2000 February Options 31.625 2005-03-16 4 M 0 75000 31.625 D 2005-09-01 Common Stock 75000 0 D Exercisable as of June 1, 2005 provided that the options become exercisable sooner, to no earlier than December 1, 2003, in one-third increments when the market price of the Issuer's Common Stock equals or exceeds certain thresholds for certain periods. Exercisable as of March 20, 2006 provided that the options become exercisable sooner, to no earlier than September 20, 2004, in one-third increments when the market price of the Issuer's Common Stock equals or exceeds certain thresholds for certain periods. Exercisable in one-third increments beginning March 1 in each of 2003, 2004 and 2005. Jeffrey A. Welikson, Attorney-in-fact 2005-03-18 -----END PRIVACY-ENHANCED MESSAGE-----