4//SEC Filing
KOCH JOHN D 4
Accession 0000819692-04-000115
CIK 0000819692other
Filed
Sep 2, 8:00 PM ET
Accepted
Sep 3, 1:47 PM ET
Size
78.8 KB
Accession
0000819692-04-000115
Insider Transaction Report
Form 4
KOCH JOHN D
DirectorExecutive Vice President
Transactions
- Disposition to Issuer
Common Stock
2004-09-01$16.17/sh+6,183$99,979→ 467,773 total - Disposition to Issuer
Incentive Stock Option
2004-09-01$11.74/sh−3,052$35,830→ 0 totalExercise: $32.76From: 2007-01-19Exp: 2013-12-19→ Common Stock (3,052 underlying) - Disposition to Issuer
Common Stock
2004-09-01$16.50/sh+79,712$1,315,248→ 721,000 total - Gift
Common Stock
2004-07-30−1,460→ 461,590 total - Disposition to Issuer
Nonqualified Stock Option
2004-09-01$20.49/sh−144,672$2,964,329→ 0 totalExercise: $24.01From: 2004-01-23Exp: 2011-01-23→ Common Stock (144,672 underlying) - Disposition to Issuer
Common Stock
2004-09-01$16.17/sh+150,095$2,427,036→ 641,288 total - Disposition to Issuer
Common Stock
2004-09-01$24.01/sh+4,165$100,002→ 480,757 total - Disposition to Issuer
Common Stock
2004-09-01$20.34/sh−1,200,284$24,413,777→ 461,590 total - Disposition to Issuer
Common Stock
2004-09-01$22.28/sh+4,489$100,015→ 472,262 total - Disposition to Issuer
Phantom Stock Units
2004-09-01$44.50/sh−82,850.041$3,686,827→ 0 totalExercise: $1.00From: 2004-09-01Exp: 2004-09-01→ Common Stock (82,850.041 underlying) - Disposition to Issuer
Common Stock
2004-09-01$23.09/sh+4,330$99,980→ 476,592 total - Disposition to Issuer
Common Stock
2004-09-01$25.33/sh+3,947$99,978→ 484,704 total - Disposition to Issuer
Common Stock
2004-09-01$29.09/sh+3,437$99,982→ 488,141 total - Disposition to Issuer
Incentive Stock Option
2004-09-01$22.28/sh−4,489$100,015→ 0 totalExercise: $22.28From: 2001-01-21Exp: 2008-01-21→ Common Stock (4,489 underlying) - Disposition to Issuer
Common Stock
2004-09-01$44.50/sh−461,590$20,540,755→ 0 total - Disposition to Issuer
Incentive Stock Option
2004-09-01$28.33/sh−6,183$175,164→ 0 totalExercise: $16.17From: 2003-01-19Exp: 2010-01-19→ Common Stock (6,183 underlying) - 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
Common Stock
2004-09-01$32.76/sh+156,948$5,141,616→ 1,661,874 total - Disposition to Issuer
Common Stock
2004-09-01+82,850.041→ 544,440.041 total - Disposition from Tender
Common Stock
2004-09-01$44.50/sh−2,400$106,800→ 0 total(indirect: By Trust) - Disposition to Issuer
Incentive Stock Option
2004-09-01$20.49/sh−4,165$85,341→ 0 totalExercise: $24.01From: 2004-01-23Exp: 2011-01-23→ Common Stock (4,165 underlying) - Disposition to Issuer
Common Stock
2004-09-01$22.28/sh+158,876$3,539,757→ 879,876 total - Disposition to Issuer
Common Stock
2004-09-01$24.01/sh+144,672$3,473,575→ 1,184,310 total - Disposition to Issuer
Common Stock
2004-09-01$25.33/sh+164,053$4,155,462→ 1,348,363 total - Disposition from Tender
Common Stock
2004-09-01$44.50/sh−59,994$2,669,733→ 0 total(indirect: By 401(k)) - Disposition to Issuer
Nonqualified Stock Option
2004-09-01$21.41/sh−159,762$3,420,504→ 0 totalExercise: $23.09From: 2002-01-19Exp: 2009-01-19→ Common Stock (159,762 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) - Disposition to Issuer
Common Stock
2004-09-01$29.09/sh+156,563$4,554,418→ 1,504,926 total - Disposition from Tender
Common Stock
2004-09-01$44.50/sh−69,574$3,096,043→ 0 total(indirect: By ESOP) - Disposition from Tender
Common Stock
2004-09-01$44.50/sh−66,172$2,944,654→ 0 total(indirect: By Trust) - Disposition from Tender
Common Stock
2004-09-01$44.50/sh−7,949$353,731→ 0 total(indirect: By Spouse) - Disposition to Issuer
Nonqualified Stock Option
2004-09-01$28.33/sh−150,095$4,252,191→ 0 totalExercise: $16.17From: 2003-01-19Exp: 2010-01-19→ Common Stock (150,095 underlying) - Disposition to Issuer
Nonqualified Stock Option
2004-09-01$15.41/sh−156,563$2,412,636→ 0 totalExercise: $29.09From: 2006-01-18Exp: 2012-12-18→ Common Stock (56,563 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 from Tender
Common Stock
2004-09-01$44.50/sh−128,721$5,728,085→ 0 total(indirect: By Partnership) - Disposition to Issuer
Common Stock
2004-09-01$32.76/sh+3,052$99,984→ 491,193 total - Disposition to Issuer
Common Stock
2004-09-01$23.09/sh+159,762$3,688,905→ 1,039,638 total - 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$21.41/sh−4,330$92,705→ 0 totalExercise: $23.09From: 2000-01-19Exp: 2009-01-19→ Common Stock (4,330 underlying) - Disposition to Issuer
Nonqualified Stock Option
2004-09-01$22.22/sh−158,876$3,530,225→ 0 totalExercise: $22.28From: 2001-01-21Exp: 2008-01-21→ Common Stock (158,876 underlying) - Disposition to Issuer
Nonqualified Stock Option
2004-09-01$28.00/sh−79,712$2,231,936→ 0 totalExercise: $16.50From: 2000-01-17Exp: 2007-01-17→ Common Stock (79,712 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
Documents
Issuer
CHARTER ONE FINANCIAL INC
CIK 0000819692
Entity typeother
Related Parties
1- filerCIK 0001220185
Filing Metadata
- Form type
- 4
- Filed
- Sep 2, 8:00 PM ET
- Accepted
- Sep 3, 1:47 PM ET
- Size
- 78.8 KB