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CHARTER ONE FINANCIAL INC·4

Sep 3, 1:51 PM ET

VANA ROBERT J 4

4 · CHARTER ONE FINANCIAL INC · Filed Sep 3, 2004

Insider Transaction Report

Form 4Exit
Period: 2004-09-01
CHARTER ONE FINANCIAL INCCF
VANA ROBERT J
Chief Corporate Counsel and Se
Transactions
  • Disposition from Tender

    Common Stock

    2004-09-01$44.50/sh−70,743$3,148,064→ 0 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$10.57/sh+16,800$177,576→ 16,800 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$16.17/sh+6,183$99,979→ 22,983 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$16.50/sh+6,055$99,908→ 29,038 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$22.28/sh+4,489$100,015→ 33,527 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$23.09/sh+4,330$99,980→ 37,857 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$24.01/sh+4,165$100,002→ 42,022 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$25.33/sh+3,947$99,978→ 45,969 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$29.09/sh+3,437$99,982→ 49,406 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$32.76/sh+3,052$99,984→ 52,458 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$10.57/sh+10,998$116,249→ 63,456 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$16.17/sh+63,274$1,023,141→ 126,730 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$16.50/sh+34,149$563,459→ 160,879 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$22.28/sh+72,089$1,606,143→ 232,968 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$23.09/sh+68,600$1,583,974→ 301,568 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$24.01/sh+61,985$1,488,260→ 363,553 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$25.33/sh+59,053$1,495,812→ 422,606 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$29.09/sh+56,563$1,645,418→ 479,169 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$32.76/sh+56,948$1,865,616→ 536,117 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$21.43/sh−536,117$11,488,987→ 0 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01+31,068.766→ 31,068.766 total
  • Disposition to Issuer

    Common Stock

    [F1]
    2004-09-01$44.50/sh−31,068.766$1,382,560→ 0 total
  • Disposition from Tender

    Common Stock

    2004-09-01$44.50/sh−59,717$2,657,407→ 0 total(indirect: By ESOP)
  • Disposition from Tender

    Common Stock

    2004-09-01$44.50/sh−52,122$2,319,429→ 0 total(indirect: By 401(k))
  • Disposition from Tender

    Common Stock

    2004-09-01$44.50/sh−6,500$289,250→ 0 total(indirect: By Trust)
  • Disposition to Issuer

    Phantom Stock Units

    [F2][F1]
    2004-09-01$44.50/sh−31,068.766$1,382,560→ 0 total
    Exercise: $1.00From: 2004-09-01Exp: 2004-09-01→ Common Stock (31,068.766 underlying)
  • Disposition to Issuer

    Incentive Stock Option

    [F1]
    2004-09-01$33.93/sh−16,800$570,024→ 0 total
    Exercise: $10.57From: 1997-01-17Exp: 2006-01-17→ Common Stock (16,800 underlying)
  • Disposition to Issuer

    Incentive Stock Option

    [F1]
    2004-09-01$28.33/sh−6,183$175,164→ 0 total
    Exercise: $16.17From: 2003-01-19Exp: 2010-01-19→ Common Stock (6,183 underlying)
  • Disposition to Issuer

    Incentive Stock Option

    [F1]
    2004-09-01$28.00/sh−6,055$169,540→ 0 total
    Exercise: $16.50From: 2000-01-22Exp: 2007-01-22→ Common Stock (6,055 underlying)
  • Disposition to Issuer

    Incentive Stock Option

    [F1]
    2004-09-01$22.22/sh−4,489$99,746→ 0 total
    Exercise: $22.28From: 2001-01-21Exp: 2008-02-12→ Common Stock (4,489 underlying)
  • Disposition to Issuer

    Incentive Stock Option

    [F1]
    2004-09-01$21.41/sh−4,330$92,705→ 0 total
    Exercise: $23.09From: 2002-01-19Exp: 2009-01-19→ Common Stock (4,330 underlying)
  • Disposition to Issuer

    Incentive Stock Option

    [F1]
    2004-09-01$20.49/sh−4,165$85,341→ 0 total
    Exercise: $24.01From: 2004-01-23Exp: 2011-01-23→ Common Stock (4,165 underlying)
  • Disposition to Issuer

    Incentive Stock Option

    [F1]
    2004-09-01$19.17/sh−3,947$75,664→ 0 total
    Exercise: $25.33From: 2005-01-19Exp: 2011-12-19→ Common Stock (3,947 underlying)
  • Disposition to Issuer

    Incentive Stock Option

    [F1]
    2004-09-01$29.09/sh−3,437$99,982→ 0 total
    Exercise: $29.09From: 2006-01-18Exp: 2012-12-18→ Common Stock (3,437 underlying)
  • Disposition to Issuer

    Incentive Stock Option

    [F1]
    2004-09-01$11.74/sh−3,052$35,830→ 0 total
    Exercise: $32.76From: 2007-01-19Exp: 2013-12-19→ Common Stock (3,052 underlying)
  • Disposition to Issuer

    Nonqualified Stock Option

    [F1]
    2004-09-01$33.93/sh−10,998$373,162→ 0 total
    Exercise: $10.57From: 1997-01-17Exp: 2006-01-17→ Common Stock (10,998 underlying)
  • Disposition to Issuer

    Nonqualified Stock Option

    [F1]
    2004-09-01$28.33/sh−63,274$1,792,552→ 0 total
    Exercise: $16.17From: 2003-01-19Exp: 2010-01-19→ Common Stock (63,274 underlying)
  • Disposition to Issuer

    Nonqualified Stock Option

    [F1]
    2004-09-01$28.00/sh−34,149$956,172→ 0 total
    Exercise: $16.50From: 2000-01-22Exp: 2007-01-22→ Common Stock (34,149 underlying)
  • Disposition to Issuer

    Nonqualified Stock Option

    [F1]
    2004-09-01$22.22/sh−72,089$1,601,818→ 0 total
    Exercise: $22.28From: 2001-01-21Exp: 2008-01-21→ Common Stock (72,089 underlying)
  • Disposition to Issuer

    Nonqualified Stock Option

    [F1]
    2004-09-01$21.41/sh−68,600$1,468,726→ 0 total
    Exercise: $23.09From: 2002-01-19Exp: 2009-01-19→ Common Stock (68,600 underlying)
  • Disposition to Issuer

    Nonqualified Stock Option

    [F1]
    2004-09-01$20.49/sh−61,985$1,270,073→ 0 total
    Exercise: $24.01From: 2004-01-23Exp: 2011-01-23→ Common Stock (61,985 underlying)
  • Disposition to Issuer

    Nonqualified Stock Option

    [F1]
    2004-09-01$19.17/sh−59,053$1,132,046→ 0 total
    Exercise: $25.33From: 2005-01-19Exp: 2011-12-19→ Common Stock (59,053 underlying)
  • Disposition to Issuer

    Nonqualified Stock Option

    [F1]
    2004-09-01$15.41/sh−56,563$871,636→ 0 total
    Exercise: $29.09From: 2006-01-18Exp: 2012-12-18→ Common Stock (56,563 underlying)
  • Disposition to Issuer

    Nonqualified Stock Option

    [F1]
    2004-09-01$11.74/sh−56,948$668,570→ 0 total
    Exercise: $32.76From: 2007-01-19Exp: 2013-12-19→ Common Stock (56,948 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
Signature
Robert J Vana|2004-09-03

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