-----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, FL4cXl7EMMFIvrH8ZhtVCa7J4mtJIlpWqKUDfoNOkTjf/pWyfw3FVVvC8pioc21w CoZM1oelu91h9vv3wMESTg== 0000819692-04-000117.txt : 20040903 0000819692-04-000117.hdr.sgml : 20040903 20040903134933 ACCESSION NUMBER: 0000819692-04-000117 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040805 FILED AS OF DATE: 20040903 DATE AS OF CHANGE: 20040903 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEU RICHARD W CENTRAL INDEX KEY: 0001220191 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16311 FILM NUMBER: 041016264 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 c0001220191d20040903f4f.xml PRIMARY DOCUMENT X0202 4 2004-08-05 1 0000819692 CHARTER ONE FINANCIAL INC CF 0001220191 NEU RICHARD W 1215 SUPERIOR AVENUE CLEVELAND OH 44114- 1 1 0 0 Executive Vice President &CFO Common Stock 2004-08-05 5 G 0 50000 0 D 313109 D Common Stock 2004-09-01 4 U 0 313109 44.5 D 0 D Common Stock 2004-09-01 4 D 0 6183 16.17 A 6183 D Common Stock 2004-09-01 4 D 0 4489 22.28 A 10672 D Common Stock 2004-09-01 4 D 0 4330 23.09 A 15002 D Common Stock 2004-09-01 4 D 0 4165 24.01 A 19167 D Common Stock 2004-09-01 4 D 0 3947 25.33 A 23114 D Common Stock 2004-09-01 4 D 0 3437 29.09 A 26551 D Common Stock 2004-09-01 4 D 0 254938 10.57 A 281489 D Common Stock 2004-09-01 4 D 0 150095 16.17 A 431584 D Common Stock 2004-09-01 4 D 0 79712 16.5 A 511296 D Common Stock 2004-09-01 4 D 0 158876 22.28 A 670172 D Common Stock 2004-09-01 4 D 0 159762 23.09 A 829934 D Common Stock 2004-09-01 4 D 0 144672 24.01 A 974606 D Common Stock 2004-09-01 4 D 0 164053 25.33 A 1138659 D Common Stock 2004-09-01 4 D 0 156563 29.09 A 1295222 D Common Stock 2004-09-01 4 D 0 156948 32.76 A 1452170 D Common Stock 2004-09-01 4 D 0 3052 32.76 A 1455222 D Common Stock 2004-09-01 4 D 0 1455222 22.72 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 1870 44.5 D 0 I By ESOP Common Stock 2004-09-01 4 U 0 13754 44.5 D 0 I By 401(k) Phantom Stock Units 0 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 16.17 2004-09-01 4 D 0 6183 28.33 D 2003-01-19 2010-01-19 Common Stock 6183 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 2.76 D 2007-01-19 2013-12-19 Common Stock 3052 0 D Nonqualified Stock Option 10.57 2004-09-01 4 D 0 254938 33.93 D 1997-01-17 2006-01-17 Common Stock 254938 0 D Nonqualified Stock Option 16.17 2004-09-01 4 D 0 150095 28.33 D 2003-01-19 2010-01-19 Common Stock 150095 0 D Nonqualified Stock Option 16.5 2004-09-01 4 D 0 79712 28 D 2000-01-22 2007-01-22 Common Stock 79712 0 D Nonqualified Stock Option 22.28 2004-09-01 4 D 0 158876 22.22 D 2001-01-21 2008-01-21 Common Stock 158875 0 D Nonqualified Stock Option 23.09 2004-09-01 4 D 0 159762 21.41 D 2002-01-19 2009-01-19 Common Stock 159762 0 D Nonqualified Stock Option 24.01 2004-09-01 4 D 0 144672 20.49 D 2004-01-23 2011-01-23 Common Stock 144672 0 D Nonqualified Stock Option 25.33 2004-09-01 4 D 0 164053 19.17 D 2005-01-19 2011-12-19 Common Stock 164053 0 D Nonqualified Stock Option 29.09 2004-09-01 4 D 0 156563 15.41 D 2006-01-18 2012-12-18 Common Stock 156563 0 D Nonqualified Stock Option 32.76 2004-09-01 4 D 0 156948 11.74 D 2007-01-19 2013-12-19 Common Stock 156948 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-----