-----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, VYGj1GcGLTRsFXaWG20l5sWzUFv9eaVzP1CTseXTdbPqFTutAcVaXyrIXT+Ko8sB cD9zHmQKcTSA7q1/7gpm3w== 0000819692-04-000119.txt : 20040903 0000819692-04-000119.hdr.sgml : 20040903 20040903135103 ACCESSION NUMBER: 0000819692-04-000119 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: VANA ROBERT J CENTRAL INDEX KEY: 0001220193 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16311 FILM NUMBER: 041016270 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 c0001220193d20040903f4f.xml PRIMARY DOCUMENT X0202 4 2004-09-01 1 0000819692 CHARTER ONE FINANCIAL INC CF 0001220193 VANA ROBERT J 1215 SUPERIOR AVENUE CLEVELAND OH 44114- 0 1 0 0 Chief Corporate Counsel and Se Common Stock 2004-09-01 4 U 0 70743 44.5 D 0 D Common Stock 2004-09-01 4 D 0 16800 10.57 A 16800 D Common Stock 2004-09-01 4 D 0 6183 16.17 A 22983 D Common Stock 2004-09-01 4 D 0 6055 16.5 A 29038 D Common Stock 2004-09-01 4 D 0 4489 22.28 A 33527 D Common Stock 2004-09-01 4 D 0 4330 23.09 A 37857 D Common Stock 2004-09-01 4 D 0 4165 24.01 A 42022 D Common Stock 2004-09-01 4 D 0 3947 25.33 A 45969 D Common Stock 2004-09-01 4 D 0 3437 29.09 A 49406 D Common Stock 2004-09-01 4 D 0 3052 32.76 A 52458 D Common Stock 2004-09-01 4 D 0 10998 10.57 A 63456 D Common Stock 2004-09-01 4 D 0 63274 16.17 A 126730 D Common Stock 2004-09-01 4 D 0 34149 16.5 A 160879 D Common Stock 2004-09-01 4 D 0 72089 22.28 A 232968 D Common Stock 2004-09-01 4 D 0 68600 23.09 A 301568 D Common Stock 2004-09-01 4 D 0 61985 24.01 A 363553 D Common Stock 2004-09-01 4 D 0 59053 25.33 A 422606 D Common Stock 2004-09-01 4 D 0 56563 29.09 A 479169 D Common Stock 2004-09-01 4 D 0 56948 32.76 A 536117 D Common Stock 2004-09-01 4 D 0 536117 21.43 D 0 D Common Stock 2004-09-01 4 D 0 31068.7655 0 A 31068.7655 D Common Stock 2004-09-01 4 D 0 31068.7655 44.5 D 0 D Common Stock 2004-09-01 4 U 0 59717 44.5 D 0 I By ESOP Common Stock 2004-09-01 4 U 0 52122 44.5 D 0 I By 401(k) Common Stock 2004-09-01 4 U 0 6500 44.5 D 0 I Trustee for Children Phantom Stock Units 1 2004-09-01 4 D 0 31068.7655 44.5 D 2004-09-01 2004-09-01 Common Stock 31068.7655 0 D Incentive Stock Option 10.57 2004-09-01 4 D 0 16800 33.93 D 1997-01-17 2006-01-17 Common Stock 16800 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 16.5 2004-09-01 4 D 0 6055 28 D 2000-01-22 2007-01-22 Common Stock 6055 0 D Incentive Stock Option 22.28 2004-09-01 4 D 0 4489 22.22 D 2001-01-21 2008-02-12 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 29.09 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 10.57 2004-09-01 4 D 0 10998 33.93 D 1997-01-17 2006-01-17 Common Stock 10998 0 D Nonqualified Stock Option 16.17 2004-09-01 4 D 0 63274 28.33 D 2003-01-19 2010-01-19 Common Stock 63274 0 D Nonqualified Stock Option 16.5 2004-09-01 4 D 0 34149 28 D 2000-01-22 2007-01-22 Common Stock 34149 0 D Nonqualified Stock Option 22.28 2004-09-01 4 D 0 72089 22.22 D 2001-01-21 2008-01-21 Common Stock 72089 0 D Nonqualified Stock Option 23.09 2004-09-01 4 D 0 68600 21.41 D 2002-01-19 2009-01-19 Common Stock 68600 0 D Nonqualified Stock Option 24.01 2004-09-01 4 D 0 61985 20.49 D 2004-01-23 2011-01-23 Common Stock 61985 0 D Nonqualified Stock Option 25.33 2004-09-01 4 D 0 59053 19.17 D 2005-01-19 2011-12-19 Common Stock 59053 0 D Nonqualified Stock Option 29.09 2004-09-01 4 D 0 56563 15.41 D 2006-01-18 2012-12-18 Common Stock 56563 0 D Nonqualified Stock Option 32.76 2004-09-01 4 D 0 56948 11.74 D 2007-01-19 2013-12-19 Common Stock 56948 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 2004-09-03 -----END PRIVACY-ENHANCED MESSAGE-----