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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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 1474 (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 Following Reported Transaction(s) (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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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock | (2) | 03/07/2006 | J(3) | 1.151 | (4) | (4) | Common Stock | 1.151 | $ 24 | 39.054 | D | ||||
Stock Options (Right to buy) | $ 15.75 | (5) | 01/17/2011 | Common Stock | 720 | 720 | D | ||||||||
Stock Options (Right to buy) | $ 17.37 | (6) | 01/16/2012 | Common Stock | 2,500 | 2,500 | D | ||||||||
Stock Options (Right to buy) | $ 18.81 | (7) | 01/22/2013 | Common Stock | 5,000 | 5,000 | D | ||||||||
Stock Options (Right to buy) | $ 20.02 | (8) | 01/21/2014 | Common Stock | 1,800 | 1,800 | D | ||||||||
Stock Options (Right to buy) | $ 23.66 | (8) | 01/19/2015 | Common Stock | 2,500 | 2,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WARLICK L D JR 10200 DAVID TAYLOR DRIVE CHARLOTTE, NC 28262-2373 |
X |
Robin S. Leslie, by Power of Attorney | 03/10/2006 | |
**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). |
(3) | Shares aquired under the First Charter Corporation dividend reinvestment plan since the date of the reporting person's last report. |
(8) | Options are exercisable in 5 equal yearly installments beginning one year after grant date. |
(4) | Non-Employee directors may withdraw common stock from the deferred comp plan the first day of the calendar month following retirement, death, or termination. |
(1) | Represents a grant of restricted stock vesting in 3 equal yearly installments. |
(6) | 1,500 options currently exercisable. The remaining 1,000 options are exercisable in equal installments on 01/16/2005 and 01/16/2006 |
(5) | 360 options currently exercisable. The remaining 360 options are exercisable on 01/17/2005. |
(7) | 1,666 options are currently exercisable. The remaining 3,334 options are exercisable in equal installments on 01/22/2005 and 01/22/2006 |
(2) | One for One |