-----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, HvJ/JKsYGOj8qUef52vj4Yc4VyIbt1e+ThHIvKOMFmUzTUBXzukgigULheB11N5e ZmZNZ+veJRXvbbrff9V8eQ== 0000819692-04-000103.txt : 20040901 0000819692-04-000103.hdr.sgml : 20040901 20040901170250 ACCESSION NUMBER: 0000819692-04-000103 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: SCULLY JOSEPH C CENTRAL INDEX KEY: 0001220225 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16311 FILM NUMBER: 041011639 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 c0001220225d20040901f4f.xml PRIMARY DOCUMENT X0202 4 2004-09-01 1 0000819692 CHARTER ONE FINANCIAL INC CF 0001220225 SCULLY JOSEPH C 1215 SUPERIOR AVENUE CLEVELAND OH 44114- 1 0 0 0 Common Stock 2004-09-01 4 U 0 17690 44.5 D 0 D Common Stock 2004-09-01 4 D 0 86148 10.45 A 86148 D Common Stock 2004-09-01 4 D 0 64612 10.68 A 150760 D Common Stock 2004-09-01 4 D 0 1722 19.01 A 152482 D Common Stock 2004-09-01 4 D 0 28715 20.02 A 181197 D Common Stock 2004-09-01 4 D 0 8269 24.01 A 189466 D Common Stock 2004-09-01 4 D 0 7875 25.33 A 197341 D Common Stock 2004-09-01 4 D 0 7500 29.09 A 204841 D Common Stock 2004-09-01 4 D 0 7500 302.76 A 212341 D Common Stock 2004-09-01 4 D 0 8682 16.17 A 221023 D Common Stock 2004-09-01 4 D 0 221023 30.02 D 0 D Common Stock 2004-09-01 4 U 0 15583 44.5 D 0 I By Spouse Common Stock 2004-09-01 4 U 0 159698 44.5 D 0 I By 401(k) Common Stock 2004-09-01 4 U 0 4417 44.5 D 0 I By IRA Common Stock 2004-09-01 4 U 0 21800 44.5 D 0 I JCS & JAS Foundation Nonqualified Stock Option 10.45 2004-09-01 4 D 0 86148 34.05 D 1999-09-30 2005-06-26 Common Stock 86148 0 D Nonqualified Stock Option 10.68 2004-09-01 4 D 0 64612 33.82 D 1999-09-30 2006-06-20 Common Stock 64612 0 D 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 19.01 2004-09-01 4 D 0 1722 25.49 D 1999-09-30 2007-06-19 Common Stock 1722 0 D Nonqualified Stock Option 20.02 2004-09-01 4 D 0 28715 24.48 D 1999-09-30 2008-08-18 Common Stock 28715 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 15.41 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-----