-----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, KEGcawVD6KNxZ+KyQodDihoSFcpaKdhmP2QmG4ziChXO9S8nWoGIVkSH8Gz+hTOW ieUo7ow8Rjj30B489PV5DA== 0000819692-04-000033.txt : 20040203 0000819692-04-000033.hdr.sgml : 20040203 20040203151841 ACCESSION NUMBER: 0000819692-04-000033 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040130 FILED AS OF DATE: 20040203 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: 001-15495 FILM NUMBER: 04562748 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 c0001220183d20040203f4f.xml PRIMARY DOCUMENT X0201 4 2004-01-30 0 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 745560 D Common Stock 115707 I By ESOP Common Stock 85123 I By 401(k) Common Stock 11065 I By IRA Trustee Common Stock 18570 I Trustee for sons Common Stock 14423 I By wife Common Stock 128721 I Family Limited Partnership Phantom Stock Units 1 2004-01-30 4 A 0 82850.0414 0 A 2008-12-31 2008-12-31 Common Stock 82850.0414 82850.0414 D Incentive Stock Option 16.17 2003-01-19 2010-01-19 Common Stock 6183 6183 D Incentive Stock Option 22.28 2001-01-21 2008-01-21 Common Stock 4489 4489 D Incentive Stock Option 23.09 2002-01-19 2009-01-19 Common Stock 4330 4330 D Incentive Stock Option 24.01 2004-01-23 2011-01-23 Common Stock 4165 4165 D Incentive Stock Option 25.33 2005-01-19 2011-12-19 Common Stock 3947 3947 D Incentive Stock Option 29.09 2006-01-18 2012-12-18 Common Stock 3437 3437 D Incentive Stock Option 32.76 2007-01-19 2013-12-19 Common Stock 3052 3052 D Nonqualified Stock Option 10.57 1997-01-17 2006-01-17 Common Stock 272130 272130 D Nonqualified Stock Option 16.17 2001-01-19 2010-01-19 Common Stock 248494 248494 D Nonqualified Stock Option 16.5 2000-01-22 2007-01-22 Common Stock 133315 133315 D Nonqualified Stock Option 22.28 2001-01-21 2008-01-21 Common Stock 260979 260979 D Nonqualified Stock Option 23.09 2002-01-19 2009-01-19 Common Stock 263081 263081 D Nonqualified Stock Option 24.01 2004-01-23 2011-01-23 Common Stock 238385 238385 D Nonqualified Stock Option 25.33 2005-01-19 2011-12-19 Common Stock 263803 263803 D Nonqualified Stock Option 29.09 2006-01-18 2012-12-18 Common Stock 251563 251563 D Nonqualified Stock Option 32.76 2007-01-19 2013-12-19 Common Stock 251948 251948 D Became general partner along with brother, John D. Koch, on December 19, 2003. The reporting person disclaims beneficial ownership of CF common stock held by FLP except to the extent of his pecuniary interest therein. one for one Robert J. Vana, Power of Attorney 2004-02-03 -----END PRIVACY-ENHANCED MESSAGE-----