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TSV S&P 500 Index Tees - Wachovia Securities

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Share Name Share Symbol Market Type
S&P 500 Index Tees - Wachovia Securities AMEX:TSV AMEX Ordinary Share
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 0.00 -

- Statement of Changes in Beneficial Ownership (4)

05/01/2009 4:52pm

Edgar (US Regulatory)


FORM 4
[ X ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
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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(f) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

CARROLL DAVID M
2. Issuer Name and Ticker or Trading Symbol

WACHOVIA CORP NEW [ WB ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
SEVP & Head of Cap. MGMT
(Last)          (First)          (Middle)

WACHOVIA CORPORATION, ONE WACHOVIA CENTER
3. Date of Earliest Transaction (MM/DD/YYYY)

12/31/2008
(Street)

CHARLOTTE, NC 28288-0009
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   12/31/2008     F    23855   D $5.54   294734.1196   D    
Common Stock   12/31/2008     D    294734.1196   (1) D $0   (2) 0   D    
Common Stock   12/31/2008     D    762.5943   D $0   (2) 0   I   By 401(k) plan  

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. 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 7. Title and Amount of Securities Underlying Derivative Security
(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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
ESOP (Right to Buy)   (3) $54.9375   12/31/2008           1820    4/20/2000   4/20/2009   Common Stock   1820   $0   (4) 0   D    
ESOP (Right to Buy)   (5) $54.9375   12/31/2008           24780    4/20/2000   4/20/2009   Common Stock   24780   $0   (4) 0   D    
ESOP (Right to Buy)   (5) $34.9375   12/31/2008           36450    12/14/2000   12/14/2009   Common Stock   36450   $0   (4) 0   D    
ESOP (Right to Buy)   (5) $31.5625   12/31/2008           85050    1/3/2001   1/3/2010   Common Stock   85050   $0   (4) 0   D    
ESOP (Right to Buy)   (5) $30.40   12/31/2008           150000    4/17/2002   (6) 4/17/2011   Common Stock   150000   $0   (4) 0   D    
ESOP (Right to Buy)   (5) $34.92   12/31/2008           178300    7/31/2002   7/31/2011   Common Stock   178300   $34.92   (4) 0   D    
ESOP (Right to Buy)   (5) $37.98   12/31/2008           118671    4/16/2003   (7) 4/16/2012   Common Stock   118671   $0   (4) 0   D    
ESOP (Right to Buy)   (5) $37.43   12/31/2008           148431    4/22/2004   (8) 4/22/2013   Common Stock   148431   $0   (4) 0   D    
ESOP   (9) $44.65   12/31/2008           96032    4/19/2005   (10) 4/19/2014   Common Stock   96032   $0   (4) 0   D    
ESOP   (11) $50.38   12/31/2008           88606    4/18/2006   (12) 4/18/2015   Common Stock   88606   $0   (4) 0   D    
ESOP (Right to Buy)   (13) $56.05   12/31/2008           107690    3/31/2007   (14) 3/30/2016   Common Stock   107690   $0   (4) 0   D    
ESOP (Right to Buy)   (15) $58.36   12/31/2008           35274    2/20/2008   (16) 2/20/2017   Common Stock   35274   $0   (4) 0   D    
ESOP (Right to Buy)   (17) $41.00   12/31/2008           81473    2/19/2009   (18) 2/19/2018   Common Stock   81473   $0   (4) 0   D    
ESOP (Right to Buy)   (17) $48.00   12/31/2008           95052    2/19/2009   (18) 2/19/2018   Common Stock   95052   $0   (4) 0   D    
ESOP (Right to Buy)   (17) $33.79   12/31/2008           82125    2/19/2009   (18) 2/19/2018   Common Stock   82125   $0   (4) 0   D    

Explanation of Responses:
( 1)  Includes 116,343 shares of unvested restricted stock with respect to which provisions exist to allow for the withholding of shares to satisfy tax withholding obligations.
( 2)  Shares disposed of in the merger between Wachovia Corporation and Wells Fargo & Company pursuant to which each share of Wachovia Corporation common stock was exchanged for .1991 shares of Wells Fargo common stock.
( 3)  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
( 4)  In the merger of Wachovia Corporation and Wells Fargo & Company, each outstanding option to purchase Wachovia Corporation common stock was converted to an option to purchase Wells Fargo stock on substantially the same terms, except that the number of options was adjusted by multiplying the number of Wachovia Corporation options by .1991 and the exercise price was adjusted by dividing the Wachovia Corporation exercise price by .1991.
( 5)  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.
( 6)  The option vests in the following increments: 50,000 shares on 4/17/02, 4/17/03 and 4/17/04.
( 7)  The option vests in three equal annual installments, beginning on 4/16/2003.
( 8)  The option becomes exercisable in substantially equal installments on each of the five anniversaries of the date of grant (20% per year), beginning 4/22/2004.
( 9)  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.
( 10)  The option becomes exercisable in substantially equal installments on each of the five anniversaries of the date of grant (20% pe r year), beginning April 19, 2005.
( 11)  Provisions exist with respect to these shares to allow for the witholding of shares to satisfy tax witholding obligations and the witholding of shares in payment of the exercise price.
( 12)  The option becomes exercisable in substantially equal installments on each of the five anniversaries of the date of grant (20% per year) beginning April 18, 2006.
( 13)  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.
( 14)  The option becomes exercisable in substantially equal installments on each of the five anniversaries of the date of grant (20% per year) beginning March 31, 2007.
( 15)  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.
( 16)  The option becomes exercisable in substantially equal installments on each of the five anniversaries of the date of grant (20% per year) beginning Feb 20, 2008.
( 17)  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.
( 18)  The option becomes exercisable in substantially equal installments on each of the five anniversaries of the date of grant (20% per year) beginning Feb. 19, 2009.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
CARROLL DAVID M
WACHOVIA CORPORATION
ONE WACHOVIA CENTER
CHARLOTTE, NC 28288-0009


SEVP & Head of Cap. MGMT

Signatures
David M. Carroll 7/19/2005
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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.

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