-----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, GlSFbWQmPGTzFEtGe4SVfvcDDnE7XP644LqkJCkJsozWd8XcyfDMHe7n9sHmaeJR 50hyiGcpu3z2W7qy2TvWpQ== 0000819692-04-000127.txt : 20040903 0000819692-04-000127.hdr.sgml : 20040903 20040903165241 ACCESSION NUMBER: 0000819692-04-000127 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040901 FILED AS OF DATE: 20040903 DATE AS OF CHANGE: 20040903 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SIMON LEONARD S CENTRAL INDEX KEY: 0001220219 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16311 FILM NUMBER: 041017320 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 c0001220219d20040903f4f.xml PRIMARY DOCUMENT X0202 4 2004-09-01 1 0000819692 CHARTER ONE FINANCIAL INC CF 0001220219 SIMON LEONARD S 1215 SUPERIOR AVENUE CLEVELAND OH 44114- 1 0 0 0 Common Stock 2004-09-01 4 U 0 268147 44.5 D 0 D Common Stock 2004-09-01 4 D 0 6183 16.17 A 6183 D Common Stock 2004-09-01 4 D 0 4330 23.09 A 10513 D Common Stock 2004-09-01 4 D 0 4165 24.01 A 14678 D Common Stock 2004-09-01 4 D 0 28545 16.17 A 43223 D Common Stock 2004-09-01 4 D 0 12763 22.28 A 55986 D Common Stock 2004-09-01 4 D 0 32134 23.09 A 88120 D Common Stock 2004-09-01 4 D 0 28910 24.01 A 117030 D Common Stock 2004-09-01 4 D 0 7875 25.33 A 124905 D Common Stock 2004-09-01 4 D 0 19688 25.33 A 144593 D Common Stock 2004-09-01 4 D 0 7500 29.09 A 152093 D Common Stock 2004-09-01 4 D 0 7500 32.76 A 159593 D Common Stock 2004-09-01 4 D 0 159593 21.66 D 0 D Common Stock 2004-09-01 4 D 0 702.9731 0 A 702.9731 D Common Stock 2004-09-01 4 D 0 702.9731 44.5 D 0 D Common Stock 2004-09-01 4 U 0 950 44.5 D 0 I Spouse Common Stock 2004-09-01 4 U 0 25000 44.5 D 0 I Family Foundation Phantom Stock Units 1 2004-09-01 4 D 0 702.9731 44.5 D Common Stock 702.9731 0 D Incentive Stock Option 16.17 2004-09-01 4 D 0 6183 28.33 D 2003-01-19 2010-01-19 Common Stock 6183 0 D Incentive Stock Option 23.09 2004-09-01 4 D 0 4330 21.41 D 2002-01-19 2009-01-19 Common Stock 4330 0 D Incentive Stock Option 24.01 2004-09-01 4 D 0 4165 20.49 D 2004-01-23 2011-01-23 Common Stock 4165 0 D Nonqualified Stock Option 16.17 2004-09-01 4 D 0 28545 28.33 D 2003-01-19 2010-01-19 Common Stock 28545 0 D Nonqualified Stock Option 22.28 2004-09-01 4 D 0 12763 22.22 D 2001-01-21 2008-01-21 Common Stock 12763 0 D Nonqualified Stock Option 23.09 2004-09-01 4 D 0 32134 21.41 D 2002-01-19 2009-01-19 Common Stock 32134 0 D Nonqualified Stock Option 24.01 2004-09-01 4 D 0 28910 20.49 D 2004-01-23 2011-01-23 Common Stock 28910 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 25.33 2004-09-01 4 D 0 19688 19.17 D 2002-12-26 2011-12-26 Common Stock 19688 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-----