-----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, QbQinHjvVd4T2KOzSIYiml+DK+H8aGHfKmkOE12e0KSe1Nb0LN5IeyM9q4ElA9xI HHZOZD6tV9hgZwJSY+IwfA== 0001209191-04-030524.txt : 20040609 0001209191-04-030524.hdr.sgml : 20040609 20040609171448 ACCESSION NUMBER: 0001209191-04-030524 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040609 FILED AS OF DATE: 20040609 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COLE JEFFREY A CENTRAL INDEX KEY: 0000922594 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12814 FILM NUMBER: 04856554 BUSINESS ADDRESS: STREET 1: 5200 THREE VILLAGE CITY: LYNDHURST STATE: OH ZIP: 44124 BUSINESS PHONE: 4404494100 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: COLE NATIONAL CORP /DE/ CENTRAL INDEX KEY: 0000769644 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-RETAIL STORES, NEC [5990] IRS NUMBER: 341453189 STATE OF INCORPORATION: DE FISCAL YEAR END: 0130 BUSINESS ADDRESS: STREET 1: 1925 ENTERPRISE PARKWAY STREET 2: N/A CITY: TWINSBURG STATE: OH ZIP: 44087 BUSINESS PHONE: 3304863100 MAIL ADDRESS: STREET 1: 1925 ENTERPISE PARKWAY STREET 2: N/A CITY: TWINSBURG STATE: OH ZIP: 44087 FORMER COMPANY: FORMER CONFORMED NAME: CNC HOLDING CORP/DE DATE OF NAME CHANGE: 19920703 4 1 doc4.xml FORM 4 SUBMISSION X0202 4 2004-06-09 0 0000769644 COLE NATIONAL CORP /DE/ CNJ 0000922594 COLE JEFFREY A 211 ESPLANADE WAY PALM BEACH FL 33480 1 0 0 0 Common Stock 2004-06-09 4 M 0 5000.0000 9.7500 A 311161.7422 D Common Stock 2004-06-09 4 M 0 7500.0000 12.5000 A 318661.7422 D Common Stock 2004-06-09 4 M 0 210000.0000 10.8125 A 528661.7422 D Common Stock 2004-06-09 4 F 0 103541.0000 23.3060 D 425120.7422 D Common Stock 2004-06-09 4 M 0 250000.0000 15.4500 A 675120.7422 D Common Stock 2004-06-09 4 M 0 25000.0000 6.5000 A 700120.7422 D Common Stock 2004-06-09 4 M 0 15156.0000 15.7500 A 715276.7422 D Common Stock 2004-06-09 4 F 0 181822.0000 23.4500 D 533454.7422 D Common Stock 2004-06-09 4 F 0 28887.0000 23.4500 D 504567.7422 D Employee Stock Option (Right to Buy) 9.7500 2004-06-09 4 M 0 5000.0000 0 D 2004-06-25 Common Stock 5000.0000 0 D Employee Stock Option (Right to Buy) 12.5000 2004-06-09 4 M 0 7500.0000 0 D 2004-06-25 Common Stock 7500.0000 0 D Employee Stock Option (Right to Buy) 10.8125 2004-06-09 4 M 0 210000.0000 0 D 2004-06-25 Common Stock 210000.0000 0 D Employee Stock Option (Right to Buy) 15.4500 2004-06-09 4 M 0 250000.0000 0 D 2004-06-25 Common Stock 250000.0000 0 D Employee Stock Option (Right to Buy) 6.5000 2004-06-09 4 M 0 25000.0000 0 D 2004-06-25 Common Stock 25000.0000 0 D Employee Stock Option (Right to Buy) 15.7500 2004-06-09 4 M 0 15156.0000 0 D 2002-01-22 2004-06-25 Common Stock 15156.0000 0 D Reflects vested option shares withheld in payment of the exercise price of 222,500 options as provided in related option agreements. Reflects the delivery of previously-owned shares ("Mature Shares") in payment of the exercise price of 290,156 options as provided on the related option agreements. Reflects shares withheld for payment of taxes in connection with the exercise of 290,156 options as required in the related option agreements. The Reporting Person exercised options which will expire on 6/25/04. He did not sell any shares in the open market. The option vested in three equal annual traunches on the anniversary of the date of grant commencing on 3/16/96. The expiration date accelerated to 6/25/04 upon Reporting Person's termination of employment with the Issuer. The option vested in three equal annual traunches on the anniversary of the date of grant commencing on 8/17/96. The option vested as follows: 1/4 of the then unvested on 2/22/98, 1/3 of the then unvested on 2/22/99, 1/2 of the then unvested on 2/22/00 and the remainder on 2/22/01. The option vested as follows: 1/3 on the first date to commence on or after the first anniversary of the grant date on which the stock price has averaged at least 133% of the exercise price for a continuous period of 21 trading days ending on such date; 1/3 on the first date commencing on or after the first anniversary of the grant date on which the stock price has averaged at least 167% of the exercise price for a continuous period of 21 trading days ending on such date; 1/3 on or after the first anniversary of the date of grant on which the stock price has averaged at least 200% of the exercise price for a continuous period of 21 trading days ending on such date; all remaining shares on the fifth anniversary (12/17/03) of the grant date. The option vested 1/4 of the grant on 3/23/01, 3/23/02 and 3/23/03 and the remaining 1/4 on 7/16/03 in connection with the Reporting Person's termination of employment with the Issuer. Jeffrey A. Cole 2004-06-09 -----END PRIVACY-ENHANCED MESSAGE-----