-----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, RRS3EQt9gv+xl3xX000sm0T90XMKkrdo+2xY9HeYn1i1vrpKyOAQfIdmrsNqswEp lssya1DlJAAgBfWmXyzuBA== 0000819692-04-000125.txt : 20040903 0000819692-04-000125.hdr.sgml : 20040903 20040903165120 ACCESSION NUMBER: 0000819692-04-000125 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: MORLEY MICHAEL P CENTRAL INDEX KEY: 0001191533 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16311 FILM NUMBER: 041017316 BUSINESS ADDRESS: STREET 1: 1215 SUPERIOR AVE CITY: CLEVELAND STATE: OH ZIP: 44114 BUSINESS PHONE: 2165665300 MAIL ADDRESS: STREET 1: 1215 SUPERIOR AVE CITY: CLEVELAND STATE: OH ZIP: 44114 4 1 c0001191533d20040903f4f.xml PRIMARY DOCUMENT X0202 4 2004-09-01 1 0000819692 CHARTER ONE FINANCIAL INC CF 0001191533 MORLEY MICHAEL P 1215 SUPERIOR AVENUE CLEVELAND OH 44114- 1 0 0 0 Common Stock 2004-09-01 4 U 0 5678 44.5 D 0 D Common Stock 2004-09-01 4 D 0 2440 9.59 A 2440 D Common Stock 2004-09-01 4 D 0 2440 15.68 A 4880 D Common Stock 2004-09-01 4 D 0 8682 16.17 A 13562 D Common Stock 2004-09-01 4 D 0 9116 23.09 A 22678 D Common Stock 2004-09-01 4 D 0 12730 23.41 A 35408 D Common Stock 2004-09-01 4 D 0 8269 24.01 A 43677 D Common Stock 2004-09-01 4 D 0 7875 25.33 A 51552 D Common Stock 2004-09-01 4 D 0 7500 29.09 A 59052 D Common Stock 2004-09-01 4 D 0 7500 32.76 A 66552 D Common Stock 2004-09-01 4 D 0 66552 20.87 D 0 D Common Stock 2004-09-01 4 D 0 1332.46 0 A 1332.46 D Common Stock 2004-09-01 4 D 0 1332.46 44.5 D 0 D Phantom Stock Units 1 2004-09-01 4 D 0 1332.46 44.5 D Common Stock 1332.46 0 D Nonqualified Stock Option 9.59 2004-09-01 4 D 0 2440 34.91 D 1988-08-08 2006-05-22 Common Stock 2440 0 D Nonqualified Stock Option 15.68 2004-09-01 4 D 0 2440 28.82 D 1988-08-08 2007-05-28 Common Stock 2440 0 D Nonqualified Stock Option 16.17 2004-09-01 4 D 0 8682 28.33 D 2001-01-19 2010-01-19 Common Stock 8682 0 D Nonqualified Stock Option 23.09 2004-09-01 4 D 0 9116 21.41 D 2000-01-19 2009-01-19 Common Stock 9116 0 D Nonqualified Stock Option 23.41 2004-09-01 4 D 0 12730 21.09 D 1998-10-15 2007-10-15 Common Stock 12730 0 D Nonqualified Stock Option 24.01 2004-09-01 4 D 0 8269 20.49 D 2002-01-23 2011-01-23 Common Stock 8269 0 D Nonqualified Stock Option 25.33 2004-09-01 4 D 0 7875 19.17 D 2002-12-19 2011-12-19 Common Stock 7875 0 D Nonqualified Stock Option 29.09 2004-09-01 4 D 0 7500 15.41 D 2003-12-18 2012-12-18 Common Stock 7500 0 D Nonqualified Stock Option 32.76 2004-09-01 4 D 0 7500 11.74 D 2004-12-19 2013-12-19 Common Stock 7500 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 Immediate Settled in common stock upon termination or retirement from service. Robert J. Vana, Power of Attorney 2004-09-03 -----END PRIVACY-ENHANCED MESSAGE-----