-----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, H9LP4j0RrOh63w+uTeszXarF4jF9usMs3COoSPRjxqWBJMxqaAl+yNgABaav4qef X77hod26Gl5ZYaXSD3bfuQ== 0000806085-06-000047.txt : 20060320 0000806085-06-000047.hdr.sgml : 20060320 20060320170720 ACCESSION NUMBER: 0000806085-06-000047 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060316 FILED AS OF DATE: 20060320 DATE AS OF CHANGE: 20060320 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: 06699272 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 doc.xml PRIMARY DOCUMENT X0202 4 2006-03-16 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 2006-03-16 4 M 0 5428 63.4 A 1411802.7843 D Common Stock 2006-03-16 4 S 0 1200 143.35 D 1410602.7843 D Common Stock 2006-03-16 4 F 0 2401 143.3565 D 1408201.7843 D Common Stock 2006-03-16 4 F 0 1327 143.3565 D 1406874.7843 D Common Stock 2006-03-16 4 S 0 400 143.36 D 1406474.7843 D Common Stock 2006-03-16 4 S 0 100 143.42 D 1406374.7843 D Common Stock 2006-03-17 4 M 0 394572 63.4 A 1800946.7843 D Common Stock 2006-03-17 4 S 0 10000 143 D 1790946.7843 D Common Stock 2006-03-17 4 S 0 8900 143.05 D 1782046.7843 D Common Stock 2006-03-17 4 M 0 9500 143.1 D 1772546.7843 D Common Stock 2006-03-17 4 S 0 1100 143.11 D 1771446.7843 D Common Stock 2006-03-17 4 S 0 19198 143.2 D 1752248.7843 D Common Stock 2006-03-17 4 S 0 802 143.23 D 1751446.7843 D Common Stock 2006-03-17 4 F 0 174644 143.2399 D 1576802.7843 D Common Stock 2006-03-17 4 F 0 96329 143.2399 D 1480473.7843 D Common Stock 2006-03-17 4 S 0 38900 143.25 D 1441573.7843 D Common Stock 2006-03-17 4 S 0 900 143.29 D 1440673.7843 D Common Stock 2006-03-17 4 S 0 700 143.31 D 1439973.7843 D Common Stock 2006-03-17 4 S 0 30000 143.4 D 1409973.7843 D Common Stock 2006-03-17 4 S 0 3300 143.53 D 1406673.7843 D Common Stock 2006-03-17 4 S 0 295 143.5501 D 1406378.7843 D Common Stock 2006-03-17 4 S 0 4 143.6 D 1406374.7843 D Common Stock 16092 I Shares held by daughter- C Common Stock 16092 I Shares held by daughter- J Common Stock 176419 I Shares held by GRAT #3 Common Stock 62581 I Shares held by GRAT #6 Common Stock 120000 I Shares held by GRAT #7 Common Stock 300000 I Shares held by GRAT #8 Common Stock 17277 I Shares held by son December 2001 Options 63.4 2006-03-16 4 M 0 5428 63.4 D 2006-12-02 Common Stock 5428 394572 D December 2001 Options 63.4 2006-03-17 4 M 0 394572 63.4 D 2006-12-02 Common Stock 394572 0 D Applicable taxes due upon exercise of stock options paid by withholding of shares. Exercise price paid by delivery of already-owned shares. Includes shares held in various benefit plans. Exercisable as of June 3, 2006, provided that commencing December 3, 2004 the options become exercisable sooner in one-third increments if the market price of the Issuer's Common Stock equals or exceeds certain thresholds for certain periods. Jeffrey A. Welikson, Attorney-in-fact 2006-03-20 -----END PRIVACY-ENHANCED MESSAGE-----