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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 (9) | Â (9) | Common Stock | Â | 39.966 (10) | Â | ||
Stock Options (Right to buy) | $ 15.75 | Â | Â | Â | Â | Â | Â (11) | 01/17/2011 | Common Stock | Â | 720 | Â | ||
Stock Options (Right to buy) | $ 17.37 | Â | Â | Â | Â | Â | Â (11) | 01/16/2012 | Common Stock | Â | 2,500 | Â | ||
Stock Options (Right to buy) | $ 18.81 | Â | Â | Â | Â | Â | Â (11) | 01/22/2013 | Common Stock | Â | 5,000 | Â | ||
Stock Options (Right to buy) | $ 20.02 | Â | Â | Â | Â | Â | Â (11) | 01/21/2014 | Common Stock | Â | 1,800 | Â | ||
Stock Options (Right to buy) | $ 23.66 | Â | Â | Â | Â | Â | Â (11) | 01/19/2015 | Common Stock | Â | 2,500 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WARLICK L D JR 10200 DAVID TAYLOR DRIVE CHARLOTTE, NC 28262-2373 |
 X |  |  |  |
Stephen J Antal, by Power of Attorney | 02/14/2007 | |
**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). |
(6) | Includes 135 shares received as a liquidating distribution from MGGW Limited Partnership. See footnote (1); the reporting person reported beneficial ownership of 4,243 shares of First Charter Corporation common stock held by MGGW. |
(10) | Includes 0.912 shares acquired under the First Charter Corporation dividend reinvestment plan since the date of the reporting person's last report. |
(2) | Includes 535 shares adjustment (reduction) to Direct holdings due to previously double - counting (2005) of distribution from First Charter Corporation Non-Employee director deferred compensation plan. |
(9) | Non-Employee directors may withdraw common stock from the deferred comp plan the first day of the calendar month following retirement, death, or termination. |
(7) | Includes 408.7303 shares acquired under the First Charter Corporation dividend reinvestment plan since the date of the reporting person's last report. |
(1) | Includes 1,104 shares received as a liquidating distribution from MGGW Limited Partnership. In prior reports, the reporting person reported indirect beneficial ownership of 4,243 shares of First Charter Corporation common stock (full amount) held by MGGW. |
(11) | All Options are currently exercisable |
(5) | Includes 751.4087 shares acquired under the First Charter Corporation dividend reinvestment plan since the date of the reporting person's last report. |
(4) | Includes 47.2989 shares acquired under the First Charter Corporation dividend reinvestment plan since the date of the reporting person's last report. |
(8) | One for One |
(3) | Includes 50.515 shares acquired under the First Charter Corporation dividend reinvestment plan since the date of the reporting person's last report. |