-----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, LXr1vhvgtsD2kdMHCGKDGBg4zp5UuExGkJu2qktJX41RNTViHTRz9An3Q2hV5oNW rqkoFYGUh/huBWdfropGpA== 0000819692-04-000111.txt : 20040903 0000819692-04-000111.hdr.sgml : 20040903 20040903134446 ACCESSION NUMBER: 0000819692-04-000111 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040901 FILED AS OF DATE: 20040903 DATE AS OF CHANGE: 20040903 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GROSSI MARK D CENTRAL INDEX KEY: 0001041743 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16311 FILM NUMBER: 041016243 BUSINESS ADDRESS: STREET 1: 1215 SUPERIOR AVE CITY: CLEVELAND STATE: OH ZIP: 44114 BUSINESS PHONE: 2165668794 MAIL ADDRESS: STREET 1: 1215 SUPERIOR AVE CITY: CLEVELAND STATE: OH ZIP: 44114 4 1 c0001041743d20040903f4f.xml PRIMARY DOCUMENT X0202 4 2004-09-01 1 0000819692 CHARTER ONE FINANCIAL INC CF 0001041743 GROSSI MARK D 1215 SUPERIOR AVENUE CLEVELAND OH 44114- 1 1 0 0 Executive Vice President Common Stock 2004-09-01 4 U 0 1015075 44.5 D 0 D Common Stock 2004-09-01 4 D 0 3947 25.33 A 3947 D Common Stock 2004-09-01 4 D 0 3437 29.09 A 7384 D Common Stock 2004-09-01 4 D 0 6104 32.76 A 13488 D Common Stock 2004-09-01 4 D 0 164053 25.33 A 177541 D Common Stock 2004-09-01 4 D 0 156563 29.09 A 334104 D Common Stock 2004-09-01 4 D 0 156948 32.76 A 491052 D Common Stock 2004-09-01 4 D 0 491052 15.48 D 0 D Common Stock 2004-09-01 4 D 0 82850.0414 0 A 82850.0414 D Common Stock 2004-09-01 4 D 0 82850.0414 44.5 D 0 D Common Stock 2004-09-01 4 U 0 125760 44.5 D 0 I Deferred Compensation Trust Common Stock 2004-09-01 4 U 0 5039 44.5 D 0 I By 401(k) Common Stock 2004-09-01 4 U 0 14088 44.5 D 0 I By ESOP Phantom Stock Units 0 2004-09-01 4 D 0 82850.0414 44.5 D 2004-09-01 2004-09-01 Common Stock 82850.0414 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 15.41 D 2006-01-18 2012-12-18 Common Stock 3437 0 D Incentive Stock Option 32.76 2004-09-01 4 D 0 6104 11.74 D 2007-01-19 2013-12-19 Common Stock 6104 0 D Nonqualified Stock Option 25.33 2004-09-01 4 D 0 164053 19.17 D 2005-01-19 2011-12-19 Common Stock 164053 0 D Nonqualified Stock Option 29.09 2004-09-01 4 D 0 156563 15.41 D 2006-01-16 2012-12-18 Common Stock 156563 0 D Nonqualified Stock Option 32.76 2004-09-01 4 D 0 156948 11.74 D 2007-01-19 2013-12-19 Common Stock 156948 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, Power of Attorney 2004-09-03 -----END PRIVACY-ENHANCED MESSAGE-----