-----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, HpTY+jam1Jg434WhsTDlmZSO+Tr5PcAntYdVDPk1ZBANWpkPnAteBnUV+yBUfxYL ltuqYY6A/s7gcB2vB/fkbg== 0000819692-04-000079.txt : 20040805 0000819692-04-000079.hdr.sgml : 20040805 20040805152010 ACCESSION NUMBER: 0000819692-04-000079 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040803 FILED AS OF DATE: 20040805 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: 04954620 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 c0001220183d20040805f4f.xml PRIMARY DOCUMENT X0202 4 2004-08-03 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 2004-08-03 4 M 0 6183 16.17 A 1157188 D Common Stock 2004-08-03 4 M 0 120000 16.17 A 1277188 D Common Stock 2004-08-04 4 M 0 128494 16.17 A 1405682 D Common Stock 115707 I By ESOP Common Stock 85123 I By 401(k) Common Stock 11065 I By IRA Trustee Common Stock 18870 I Trustee for sons Common Stock 14423 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 2004-08-03 4 M 0 6183 0 D 2003-01-19 2010-01-19 Common Stock 6183 0 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 16.17 2004-08-03 4 M 0 120000 0 D 2001-01-19 2010-01-19 Common Stock 120000 128494 D Nonqualified Stock Option 16.17 2004-08-04 4 M 0 128494 0 D 2001-01-19 2010-01-19 Common Stock 128494 0 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 Robert J. Vana, Power of Attorney 2004-08-05 -----END PRIVACY-ENHANCED MESSAGE-----