-----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, Ki+CWq/VR49bBF4EgHRHzjk6cbQLNzwgNiSEKLELBV9FJVnxqt1DEgypkyV2PL6V 5n/CS7rTVTujr9H8DPsMVA== 0001220185-03-000004.txt : 20031222 0001220185-03-000004.hdr.sgml : 20031222 20031222165007 ACCESSION NUMBER: 0001220185-03-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031218 FILED AS OF DATE: 20031222 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: 031068111 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 c0001220185d20031222f4f.xml PRIMARY DOCUMENT X0201 42003-12-1800000819692CHARTER ONE FINANCIAL INC CF0001220185KOCH JOHN D1215 SUPERIOR AVENUECLEVELANDOH44114-1100Senior Vice President< nonDerivativeTable>Common Stock2003-12-185G083032.77D236172DCommon Stock57010IBy 401(k)Common Stock67494IBy ESOPCommon Stock2400IBy IRA TrusteeCommon Stock65421ITrustee for sonsCommon Stock7949IBy wifeCommon Stock2003-12-194A01287210A128721IFamily Limited PartnershipIncentive Stock Option10.571997-01-172006-01-17Common Stock2814328143DIncentive Stock Option16.172003-01-192010-01-19Common Stock61836183DIncentive Stock Option16.52000-01-222007-01-22Common Stock60556055DIncentive Stock Option22.282001-01-212008-01-21Common Stock44894489DIncentive Stock Option23.092000-01-192009-01-19Common Stock43304330DIncentive Stock Option24.012004-01-232011-01-23Common Stock41654165DIncentive Stock Option25.332005-01-192011-12-19Common Stock39473947DIncentive Stock Option29.092006-01-182012-12-18Common Stock34373437DIncentive Stock Option32.762003-12-194A030520A2007-01-192013-12-19Common Stock30523052DNonqualified Stock Option10.571997-01-172006-01-17Common Stock193280193280DNonqualified Stock Option16.172003-01-192010-01-19Common Stock150095150095DNonqualified Stock Option16.52000-01-172007-01-17Common Stock7971279712DNonqualified Stock Option22.282001-01-212008-01-21Common Stock158876158876DNonqualified Stock Option23.092002-01-192009-01-19Common Stock159762159762DNonqualified Stock Option24.012004-01-232011-01-23Common Stock144672144672D< /directOrIndirectOwnership>Nonqualified Stock Option25.332005-01-192011-12-19Common Stock164053164053DNonqualified Stock Option29.092006-01-182012-12-18Common Stock156563156563DNonqualified Stock Option32.762003-12-194A01569480A2007-01-192013-12-19Common Stock156948156948DBalance ref lects 3000 less shares due to transfer of shares to the Family Limited Partnership.Includes 3000 shares transferred from direct holdings.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 Attorney2003-12-22 -----END PRIVACY-ENHANCED MESSAGE-----