CHARTER ONE FINANCIAL INC 4
4 · CHARTER ONE FINANCIAL INC · Filed Sep 3, 2004
Insider Transaction Report
Form 4
GROSSI MARK D
DirectorExecutive Vice President
Transactions
- Disposition to Issuer
Common Stock
2004-09-01$29.09/sh+156,563$4,554,418→ 334,104 total - Disposition to Issuer
Common Stock
2004-09-01+82,850.041→ 82,850.041 total - Disposition to Issuer
Nonqualified Stock Option
2004-09-01$19.17/sh−164,053$3,144,896→ 0 totalExercise: $25.33From: 2005-01-19Exp: 2011-12-19→ Common Stock (164,053 underlying) - Disposition to Issuer
Nonqualified Stock Option
2004-09-01$15.41/sh−156,563$2,412,636→ 0 totalExercise: $29.09From: 2006-01-16Exp: 2012-12-18→ Common Stock (156,563 underlying) - Disposition from Tender
Common Stock
2004-09-01$44.50/sh−1,015,075$45,170,838→ 0 total - Disposition to Issuer
Common Stock
2004-09-01$29.09/sh+3,437$99,982→ 7,384 total - Disposition from Tender
Common Stock
2004-09-01$44.50/sh−5,039$224,236→ 0 total(indirect: By 401(k)) - Disposition to Issuer
Incentive Stock Option
2004-09-01$11.74/sh−6,104$71,661→ 0 totalExercise: $32.76From: 2007-01-19Exp: 2013-12-19→ Common Stock (6,104 underlying) - Disposition to Issuer
Common Stock
2004-09-01$32.76/sh+6,104$199,967→ 13,488 total - Disposition to Issuer
Common Stock
2004-09-01$25.33/sh+164,053$4,155,462→ 177,541 total - Disposition from Tender
Common Stock
2004-09-01$44.50/sh−14,088$626,916→ 0 total(indirect: By ESOP) - Disposition to Issuer
Incentive Stock Option
2004-09-01$15.41/sh−3,437$52,964→ 0 totalExercise: $29.09From: 2006-01-18Exp: 2012-12-18→ Common Stock (3,437 underlying) - Disposition to Issuer
Incentive Stock Option
2004-09-01$19.17/sh−3,947$75,664→ 0 totalExercise: $25.33From: 2005-01-19Exp: 2011-12-19→ Common Stock (3,947 underlying) - Disposition to Issuer
Common Stock
2004-09-01$25.33/sh+3,947$99,978→ 3,947 total - Disposition to Issuer
Common Stock
2004-09-01$15.48/sh−491,052$7,601,485→ 0 total - Disposition to Issuer
Common Stock
2004-09-01$32.76/sh+156,948$5,141,616→ 491,052 total - Disposition from Tender
Common Stock
2004-09-01$44.50/sh−125,760$5,596,320→ 0 total(indirect: By Trust) - Disposition to Issuer
Phantom Stock Units
2004-09-01$44.50/sh−82,850.041$3,686,827→ 0 totalExercise: $0.00From: 2004-09-01Exp: 2004-09-01→ Common Stock (82,850.041 underlying) - Disposition to Issuer
Nonqualified Stock Option
2004-09-01$11.74/sh−156,948$1,842,570→ 0 totalExercise: $32.76From: 2007-01-19Exp: 2013-12-19→ Common Stock (156,948 underlying)
Footnotes (2)
- [F1]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)
- [F2]one for one