-----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, CBfaAdqYO1VLqrl/DLhGT7E1htAq4peDM3gjMwmyUyfR6i1khsi3oyc5bIyi6RmP 9hm/t8+nBA18W7MVKDW9QQ== 0000819692-04-000093.txt : 20040901 0000819692-04-000093.hdr.sgml : 20040901 20040901165645 ACCESSION NUMBER: 0000819692-04-000093 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040901 FILED AS OF DATE: 20040901 DATE AS OF CHANGE: 20040901 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FISHER PHILLIP WM CENTRAL INDEX KEY: 0001220201 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16311 FILM NUMBER: 041011595 BUSINESS ADDRESS: STREET 1: C/O CHARTER ONE FINANCIAL INC STREET 2: 1215 SUPERIOR AVENUE CITY: CLEVELAND STATE: OH ZIP: 44114 BUSINESS PHONE: 2165665300 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CHARTER ONE FINANCIAL INC CENTRAL INDEX KEY: 0000819692 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 341567092 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1215 SUPERIOR AVE CITY: CLEVELAND STATE: OH ZIP: 44114 BUSINESS PHONE: 2165665300 MAIL ADDRESS: STREET 1: 1215 SUPERIOR AVENUE STREET 2: 1215 SUPERIOR AVENUE CITY: CLEVELAND STATE: OH ZIP: 44114 4 1 c0001220201d20040901f4f.xml PRIMARY DOCUMENT X0202 4 2004-09-01 1 0000819692 CHARTER ONE FINANCIAL INC CF 0001220201 FISHER PHILLIP WM 1215 SUPERIOR AVENUE CLEVELAND OH 44114- 1 0 0 0 Common Stock 2004-09-01 4 D 0 8682 16.17 A 8682 D Common Stock 2004-09-01 4 D 0 12663 18.47 A 21345 D Common Stock 2004-09-01 4 D 0 9116 23.09 A 30461 D Common Stock 2004-09-01 4 D 0 8269 24.01 A 38730 D Common Stock 2004-09-01 4 D 0 7875 25.33 A 46605 D Common Stock 2004-09-01 4 D 0 7500 29.09 A 54105 D Common Stock 2004-09-01 4 D 0 7500 32.76 A 61605 D Common Stock 2004-09-01 4 D 0 61605 21.01 D 0 D Common Stock 2004-09-01 4 U 0 76811 44.5 D 0 I As Trustee under various Trust Common Stock 2004-09-01 4 U 0 280641 44.5 D 0 I By Fisher Securities, LLC Common Stock 2004-09-01 4 U 0 1899 44.5 D 0 I Fisher Sector, LLC Common Stock 2004-09-01 4 U 0 1416297 44.5 D 0 I Martinque Charitable Remainder Nonqualified Stock Option 16.17 2004-09-01 4 D 0 8682 28.33 D 2001-01-19 2010-01-19 Common Stock 8682 0 D Nonqualified Stock Option 18.47 2004-09-01 4 D 0 12663 26.03 D 1998-06-18 2007-06-18 Common Stock 12663 0 D Nonqualified Stock Option 23.09 2004-09-01 4 D 0 9116 21.41 D 2000-01-19 2009-01-19 Common Stock 9116 0 D Nonqualified Stock Option 24.01 2004-09-01 4 D 0 8269 20.49 D 2002-01-23 2011-01-23 Common Stock 8269 0 D Nonqualified Stock Option 25.33 2004-09-01 4 D 0 7875 19.17 D 2002-12-19 2011-12-19 Common Stock 7875 0 D Nonqualified Stock Option 29.09 2004-09-01 4 D 0 7500 15.41 D 2003-12-18 2012-12-18 Common Stock 7500 0 D Nonqualified Stock Option 32.76 2004-09-01 4 D 0 7500 11.74 D 2004-12-19 2013-12-19 Common Stock 7500 0 D Pursuant to the Agreement and Plan of Merger by and among Charter One Financial, Inc., and Citizens Financial Group, Inc., these derivative securities were canceled in exchange for cash payment by the issuer of $44.50 per share minus the exercise price, if any. (The transactions reported on Table I are the same as the cashed out securities on Table II) Robert J. Vana, Power of Attorney 2004-09-01 -----END PRIVACY-ENHANCED MESSAGE-----