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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Phantom Stock | Â | Â | Â | Â | Â | Â | Â (3) | Â (3) | Common Stock | Â | 11,490.44 (4) | Â | ||
Stock Options (Right to buy) | $ 14.5 | Â | Â | Â | Â | Â | Â (5) | 01/20/2010 | Common Stock | Â | 1,800 | Â | ||
Stock Options (Right to buy) | $ 15.75 | Â | Â | Â | Â | Â | Â (5) | 01/17/2011 | Common Stock | Â | 1,800 | Â | ||
Stock Options (Right to buy) | $ 17.37 | Â | Â | Â | Â | Â | Â (5) | 01/16/2012 | Common Stock | Â | 3,500 | Â | ||
Stock Options (Right to buy) | $ 18 | Â | Â | Â | Â | Â | Â (5) | 10/14/2009 | Common Stock | Â | 1,800 | Â | ||
Stock Options (Right to buy) | $ 18.81 | Â | Â | Â | Â | Â | Â (5) | 01/22/2013 | Common Stock | Â | 5,000 | Â | ||
Stock Options (Right to buy) | $ 20.02 | Â | Â | Â | Â | Â | Â (5) | 01/21/2014 | Common Stock | Â | 1,800 | Â | ||
Stock Options (Right to buy) | $ 23.66 | Â | Â | Â | Â | Â | Â (5) | 01/19/2015 | Common Stock | Â | 2,500 | Â | ||
Stock Options (Right to buy) | $ 26.75 | Â | Â | Â | Â | Â | Â (5) | 04/29/2008 | Common Stock | Â | 1,000 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
COLTRANE MICHAEL R 10200 DAVID TAYLOR DRIVE CHARLOTTE, NC 28262-2373 |
 X |  |  |  |
Stephen J Antal, by Power of Attorney | 02/14/2008 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(4) | Due to an administrative error by the plan administrator relating to the allocation of the plan shares, the director's previously reported holdings have been increased by 145.2521 shares. |
(1) | The reporting person is a trustee of the limited partner of LDC Associates Limited Partnership (the "Partnership"). The Partnership owns shares of First Charter's common stock. On December 31, 2005, the reporting person obtained a 50% interest in the general partner of the Partnership, and pursuant to such ownership may have the ability to control the Partnership. The reporting person disclaims beneficial ownership of the securities held by the Partnership, except to the extent of his pecuniary interest therein |
(3) | Non-Employee directors may withdraw common stock from the deferred comp plan the first day of the calendar month following retirement, death, or termination. |
(5) | All Options are currently exercisable |
(2) | One for One |