-----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, OTjhywFmca2uq9g/uGDNVzgq0fiLz7juDLKnqixKQL0Ig91GSYSJK5AGLwoWSDxr 0vP3/RvlfK42xpcg8VodAQ== 0000819692-04-000071.txt : 20040802 0000819692-04-000071.hdr.sgml : 20040802 20040802170300 ACCESSION NUMBER: 0000819692-04-000071 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040730 FILED AS OF DATE: 20040802 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KOCH JOHN D CENTRAL INDEX KEY: 0001220185 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15495 FILM NUMBER: 04945681 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 c0001220185d20040802f4f.xml PRIMARY DOCUMENT X0202 4 2004-07-30 0 0000819692 CHARTER ONE FINANCIAL INC CF 0001220185 KOCH JOHN D 1215 SUPERIOR AVENUE CLEVELAND OH 44114- 1 1 0 0 Executive Vice President Common Stock 2004-07-30 4 M 0 6055 16.5 A 269770 D Common Stock 2004-07-30 4 M 0 193280 10.57 A 463050 D Common Stock 59994 I By 401(k) Common Stock 69574 I By ESOP Common Stock 2400 I By IRA Trustee Common Stock 66172 I Trustee for sons Common Stock 7949 I By wife Common Stock 128721 I Family Limited Partnership Phantom Stock Units 1 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 16.5 2004-07-30 4 M 0 6055 0 D 2000-01-22 2007-01-22 Common Stock 6055 0 D Incentive Stock Option 22.28 2001-01-21 2008-01-21 Common Stock 4489 4489 D Incentive Stock Option 23.09 2000-01-19 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 2004-07-30 4 M 0 193280 0 D 1997-01-17 2006-01-17 Common Stock 193280 0 D Nonqualified Stock Option 16.17 2003-01-19 2010-01-19 Common Stock 150095 150095 D Nonqualified Stock Option 16.5 2000-01-17 2007-01-17 Common Stock 79712 79712 D Nonqualified Stock Option 22.28 2001-01-21 2008-01-21 Common Stock 158876 158876 D Nonqualified Stock Option 23.09 2002-01-19 2009-01-19 Common Stock 159762 159762 D Nonqualified Stock Option 24.01 2004-01-23 2011-01-23 Common Stock 144672 144672 D Nonqualified Stock Option 25.33 2005-01-19 2011-12-19 Common Stock 164053 164053 D Nonqualified Stock Option 29.09 2006-01-18 2012-12-18 Common Stock 156563 156563 D Nonqualified Stock Option 32.76 2007-01-19 2013-12-19 Common Stock 156948 156948 D Became general partner along with brother, Charles J. 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. Robert J. Vana, Power of Attorney 2004-08-02 -----END PRIVACY-ENHANCED MESSAGE-----