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VANA ROBERT J 4

Accession 0000819692-04-000119

CIK 0000819692other
View on SEC.govCompany Profile

Filed

Sep 2, 8:00 PM ET

Accepted

Sep 3, 1:51 PM ET

Size

83.2 KB

Accession

0000819692-04-000119

Insider Transaction Report

Form 4
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

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

    Common Stock

    2004-09-01$29.09/sh+3,437$99,982→ 49,406 total
  • Disposition from Tender

    Common Stock

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

    Incentive Stock Option

    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

    Common Stock

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

    Common Stock

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

    Common Stock

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

    Nonqualified Stock Option

    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

    Phantom Stock Units

    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

    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

    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

    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

    Common Stock

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

    Common Stock

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

    Incentive Stock Option

    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

    Common Stock

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

    Incentive Stock Option

    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

    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

    Nonqualified Stock Option

    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

    Common Stock

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

    Nonqualified Stock Option

    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

    Common Stock

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

    Common Stock

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

    Common Stock

    2004-09-01$29.09/sh+56,563$1,645,418→ 479,169 total
  • Disposition from Tender

    Common Stock

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

    Common Stock

    2004-09-01$23.09/sh+68,600$1,583,974→ 301,568 total
  • Disposition from Tender

    Common Stock

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

    Incentive Stock Option

    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

    Nonqualified Stock Option

    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

    Common Stock

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

    Common Stock

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

    Incentive Stock Option

    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

    Common Stock

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

    Common Stock

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

    Common Stock

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

    Incentive Stock Option

    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

    Nonqualified Stock Option

    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

    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)
  • Disposition to Issuer

    Common Stock

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

    Common Stock

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

    Nonqualified Stock Option

    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

    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)
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

1 file

Issuer

CHARTER ONE FINANCIAL INC

CIK 0000819692

→
Entity typeother

Related Parties

1
  • filerCIK 0001220193

Filing Metadata

Form type
4
Filed
Sep 2, 8:00 PM ET
Accepted
Sep 3, 1:51 PM ET
Size
83.2 KB
View on SEC.gov