4//SEC Filing
SIMON LEONARD S 4
Accession 0000819692-04-000127
CIK 0000819692other
Filed
Sep 2, 8:00 PM ET
Accepted
Sep 3, 4:52 PM ET
Size
56.1 KB
Accession
0000819692-04-000127
Insider Transaction Report
Form 4
SIMON LEONARD S
Director
Transactions
- Disposition from Tender
Common Stock
2004-09-01$44.50/sh−268,147$11,932,542→ 0 total - Disposition to Issuer
Common Stock
2004-09-01$16.17/sh+6,183$99,979→ 6,183 total - Disposition to Issuer
Common Stock
2004-09-01+702.973→ 702.973 total - Disposition to Issuer
Nonqualified Stock Option
2004-09-01$20.49/sh−28,910$592,366→ 0 totalExercise: $24.01From: 2004-01-23Exp: 2011-01-23→ Common Stock (28,910 underlying) - Disposition to Issuer
Common Stock
2004-09-01$24.01/sh+28,910$694,129→ 117,030 total - Disposition to Issuer
Common Stock
2004-09-01$21.66/sh−159,593$3,456,784→ 0 total - Disposition from Tender
Common Stock
2004-09-01$44.50/sh−950$42,275→ 0 total(indirect: By Spouse) - Disposition to Issuer
Nonqualified Stock Option
2004-09-01$28.33/sh−28,545$808,680→ 0 totalExercise: $16.17From: 2003-01-19Exp: 2010-01-19→ Common Stock (28,545 underlying) - Disposition to Issuer
Common Stock
2004-09-01$22.28/sh+12,763$284,360→ 55,986 total - Disposition to Issuer
Common Stock
2004-09-01$29.09/sh+7,500$218,175→ 152,093 total - Disposition to Issuer
Common Stock
2004-09-01$23.09/sh+4,330$99,980→ 10,513 total - Disposition to Issuer
Incentive Stock Option
2004-09-01$21.41/sh−4,330$92,705→ 0 totalExercise: $23.09From: 2002-01-19Exp: 2009-01-19→ Common Stock (4,330 underlying) - Disposition to Issuer
Nonqualified Stock Option
2004-09-01$19.17/sh−19,688$377,419→ 0 totalExercise: $25.33From: 2002-12-26Exp: 2011-12-26→ Common Stock (19,688 underlying) - Disposition to Issuer
Common Stock
2004-09-01$25.33/sh+7,875$199,474→ 124,905 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$15.41/sh−7,500$115,575→ 0 totalExercise: $29.09From: 2003-12-18Exp: 2012-12-18→ Common Stock (7,500 underlying) - Disposition from Tender
Common Stock
2004-09-01$44.50/sh−25,000$1,112,500→ 0 total(indirect: By Foundation) - Disposition to Issuer
Nonqualified Stock Option
2004-09-01$21.41/sh−32,134$687,989→ 0 totalExercise: $23.09From: 2002-01-19Exp: 2009-01-19→ Common Stock (32,134 underlying) - Disposition to Issuer
Common Stock
2004-09-01$16.17/sh+28,545$461,573→ 43,223 total - Disposition to Issuer
Nonqualified Stock Option
2004-09-01$19.17/sh−7,875$150,964→ 0 totalExercise: $25.33From: 2002-12-19Exp: 2011-12-19→ Common Stock (7,875 underlying) - Disposition to Issuer
Common Stock
2004-09-01$24.01/sh+4,165$100,002→ 14,678 total - Disposition to Issuer
Common Stock
2004-09-01$23.09/sh+32,134$741,974→ 88,120 total - Disposition to Issuer
Common Stock
2004-09-01$25.33/sh+19,688$498,697→ 144,593 total - Disposition to Issuer
Phantom Stock Units
2004-09-01$44.50/sh−702.973$31,282→ 0 totalExercise: $1.00→ Common Stock (702.973 underlying) - Disposition to Issuer
Nonqualified Stock Option
2004-09-01$22.22/sh−12,763$283,594→ 0 totalExercise: $22.28From: 2001-01-21Exp: 2008-01-21→ Common Stock (12,763 underlying) - 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)
Footnotes (4)
- [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
- [F3]Immediate
- [F4]Settled in common stock upon termination or retirement from service.
Documents
Issuer
CHARTER ONE FINANCIAL INC
CIK 0000819692
Entity typeother
Related Parties
1- filerCIK 0001220219
Filing Metadata
- Form type
- 4
- Filed
- Sep 2, 8:00 PM ET
- Accepted
- Sep 3, 4:52 PM ET
- Size
- 56.1 KB