-----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, ESn+SRx51shirX9MCfrLr3JNIR2Tt97YraL2o8CVJ4T1CoAQYVIjWYM3AUvDSsKb q61R48Z8KkHWCAF8yAJ5pw== 0000819692-04-000113.txt : 20040903 0000819692-04-000113.hdr.sgml : 20040903 20040903134556 ACCESSION NUMBER: 0000819692-04-000113 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040901 FILED AS OF DATE: 20040903 DATE AS OF CHANGE: 20040903 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KOCH CHARLES JOHN CENTRAL INDEX KEY: 0001220183 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16311 FILM NUMBER: 041016248 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 c0001220183d20040903f4f.xml PRIMARY DOCUMENT X0202 4 2004-09-01 1 0000819692 CHARTER ONE FINANCIAL INC CF 0001220183 KOCH CHARLES JOHN 1215 SUPERIOR AVENUE CLEVELAND OH 44114- 1 1 0 0 Chairman and Chief Executive O Common Stock 2004-09-01 4 U 0 1405682 44.5 D 0 D Common Stock 2004-09-01 4 D 0 4489 22.28 A 4489 D Common Stock 2004-09-01 4 D 0 4330 23.09 A 8819 D Common Stock 2004-09-01 4 D 0 4165 24.01 A 12984 D Common Stock 2004-09-01 4 D 0 3947 25.33 A 16931 D Common Stock 2004-09-01 4 D 0 3437 29.09 A 20368 D Common Stock 2004-09-01 4 D 0 3052 32.76 A 23420 D Common Stock 2004-09-01 4 D 0 260979 22.28 A 284399 D Common Stock 2004-09-01 4 D 0 263081 23.09 A 547480 D Common Stock 2004-09-01 4 D 0 238385 24.01 A 785865 D Common Stock 2004-09-01 4 D 0 263803 25.33 A 1049668 D Common Stock 2004-09-01 4 D 0 263803 25.33 A 1313471 D Common Stock 2004-09-01 4 D 0 251563 29.09 A 1565034 D Common Stock 2004-09-01 4 D 0 251948 32.76 A 1816982 D Common Stock 2004-09-01 4 D 0 1816982 15.78 D 0 D Common Stock 2004-09-01 4 D 0 82850.0414 0 A 82850.0414 D Common Stock 2004-09-01 4 D 0 82850.0414 44.5 D 0 D Common Stock 2004-09-01 4 U 0 115707 44.5 D 0 I By ESOP Common Stock 2004-09-01 4 U 0 85123 44.5 D 0 I By 401(k) Common Stock 2004-09-01 4 U 0 11065 44.5 D 0 I By IRA Trustee Common Stock 2004-09-01 4 U 0 18870 44.5 D 0 I Trustee for sons Common Stock 2004-09-01 4 U 0 14423 44.5 D 0 I By wife Common Stock 2004-09-01 4 U 0 128721 44.5 D 0 I Family Limited Partnership Phantom Stock Units 1 2004-09-01 4 D 0 82850.0414 44.5 D 2004-09-01 2004-09-01 Common Stock 82850.0414 0 D Incentive Stock Option 22.28 2004-09-01 4 D 0 4489 22.22 D 2001-01-21 2008-01-21 Common Stock 4489 0 D Incentive Stock Option 23.09 2004-09-01 4 D 0 4330 21.41 D 2002-01-19 2009-01-19 Common Stock 4330 0 D Incentive Stock Option 24.01 2004-09-01 4 D 0 4165 20.49 D 2004-01-23 2011-01-23 Common Stock 4165 0 D Incentive Stock Option 25.33 2004-09-01 4 D 0 3947 19.17 D 2005-01-19 2011-12-19 Common Stock 3947 0 D Incentive Stock Option 29.09 2004-09-01 4 D 0 3437 15.41 D 2006-01-18 2012-12-18 Common Stock 3437 0 D Incentive Stock Option 32.76 2004-09-01 4 D 0 3052 11.74 D 2007-01-19 2013-12-19 Common Stock 3052 0 D Nonqualified Stock Option 22.28 2004-09-01 4 D 0 260979 22.22 D 2001-01-21 2008-01-21 Common Stock 260979 0 D Nonqualified Stock Option 23.09 2004-09-01 4 D 0 263081 21.41 D 2002-01-19 2009-01-19 Common Stock 263081 0 D Nonqualified Stock Option 24.01 2004-09-01 4 D 0 238385 20.49 D 2004-01-23 2011-01-23 Common Stock 238385 0 D Nonqualified Stock Option 25.33 2004-09-01 4 D 0 263803 19.17 D 2005-01-19 2011-12-19 Common Stock 263803 0 D Nonqualified Stock Option 29.09 2004-09-01 4 D 0 251563 15.41 D 2006-01-18 2012-12-18 Common Stock 251563 0 D Nonqualified Stock Option 32.76 2004-09-01 4 D 0 251948 11.74 D 2007-01-19 2013-12-19 Common Stock 251948 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) one for one Robert J. Vana, Power of Attorney 2004-09-03 -----END PRIVACY-ENHANCED MESSAGE-----