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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
ESOP (1) | $ 40.13 | 01/25/2007 | M | 623 | 04/15/1998 | 04/15/2007 | Common Stock | 623 | $ 0 | 1,869 | D | ||||
ESOP (1) | $ 40.13 | 01/25/2007 | M | 1,869 | 04/15/1998 | 04/15/2007 | Common Stock | 1,869 | $ 0 | 0 | D | ||||
ESOP (Right to Buy) (2) | $ 40.13 | 01/25/2007 | M | 17,031 | 04/15/1998 | 04/15/2007 | Common Stock | 17,031 | $ 0 | 5,677 | D | ||||
ESOP (Right to Buy) (2) | $ 40.13 | 01/25/2007 | M | 5,677 | 04/15/1998 | 04/15/2007 | Common Stock | 5,677 | $ 0 | 0 | D | ||||
ESOP (Right to Buy) (3) | $ 27.5625 | 01/25/2007 | M | 60,000 | 10/17/2001(4) | 10/17/2010 | Common Stock | 60,000 | $ 0 | 180,000 | D | ||||
ESOP (Right to Buy) (3) | $ 27.5625 | 01/25/2007 | M | 70,000 | 10/17/2001(4) | 10/17/2010 | Common Stock | 70,000 | $ 0 | 110,000 | D | ||||
ESOP (Right to Buy) (3) | $ 27.5625 | 01/25/2007 | M | 110,000 | 10/17/2001(4) | 10/17/2010 | Common Stock | 110,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CARROLL DAVID M WACHOVIA CORPORATION ONE WACHOVIA CENTER CHARLOTTE, NC 28288-0009 |
SEVP Sp Fin and Corp Supp Serv |
David M. Carroll | 01/29/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Provisions exist with respect to these shares to allow for the withholding of shares to satisfy tax withholding obligations and the withholding of shares in payment of the exercise price. The exercise of certain options in any one-year is limited to 100,000 dollars. |
(2) | Provisions exist with respect to these shares to allow for the withholding of shares to satisfy tax withholding obligations and t he withholding of shares in payment of the exercise price. |
(3) | Provisions exist with respect to these shares to allow for the withholding of shares to satisfy tax withholding obligations and t he withholding of shares in payment of the exercise price. |
(4) | The option vests in the following increments: 80,000 shares annually beginning 10/17/2001 |
(5) | The exercise price for the 110,000 shares was paid by delivering 76,644 shares of common stock at a fair market value of $56.26, plus $77.87 in cash. |
(6) | As of 1/25/2007, includes 65,124 shares of unvested restricted stock with respect to which provisions exist to allow for the withholding of shares to satisfy tax withholding obligations. |