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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 | ||||||||
Employee Stock Option (right to buy) | $ 39.32 | 10/01/2007 | D | 3,178 | 03/01/2003 | 02/29/2008 | common stock | 3,178 | (2) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 43.6 | 10/01/2007 | D | 2,383 | 03/01/2005 | 02/28/2010 | common stock | 2,383 | (2) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 25.75 | 10/01/2007 | D | 4,367 | 03/01/2006 | 02/28/2013 | common stock | 4,367 | (2) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 39.33 | 10/01/2007 | D | 4,152 | 03/01/2007 | 02/28/2014 | common stock | 4,152 | (2) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MILLER PETER M ONE NORTH JEFFERSON AVENUE ST. LOUIS, MO 63103 |
Executive VP |
Gabriel Vuagniaux by POA | 10/03/2007 | |
**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) | Shares disposed of in the merger between A.G. Edwards, Inc. and Wachovia Corporation pursuant to which each share of A.G. Edwards, Inc. common stock was exchanged for .9844 shares of Wachovia common stock, having a market value of $50.92 per shares on the effective date of the merger, and $35.80 in cash. Each A.G. Edwards Restricted Share was converted into 1.6407 restricted shares of Wachovia Common Stock. |
(2) | In the merger of A.G. Edwards, Inc. and Wachovia Corporation, each outstanding option to purchase A.G. Edwards, Inc. common stock was converted to an option to purchase Wachovia stock on substantially the same terms, except that the number of options was adjusted by multiplying the number of A.G. Edwards, Inc. options by 1.6407, the exercise price was adjusted by dividing the A.G. Edwards, Inc. exercise price by 1.6407. |