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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 (6) | Â (6) | Common Stock | Â | 917.316 (7) | Â | ||
Stock Options (Right to buy) | $ 15.75 | Â | Â | Â | Â | Â | Â (8) | 01/17/2011 | Common Stock | Â | 1,440 | Â | ||
Stock Options (Right to buy) | $ 17.37 | Â | Â | Â | Â | Â | Â (8) | 01/16/2012 | Common Stock | Â | 2,500 | Â | ||
Stock Options (Right to buy) | $ 18.81 | Â | Â | Â | Â | Â | Â (8) | 01/22/2013 | Common Stock | Â | 5,000 | Â | ||
Stock Options (Right to buy) | $ 20.02 | Â | Â | Â | Â | Â | Â (8) | 01/21/2014 | Common Stock | Â | 1,800 | Â | ||
Stock Options (Right to buy) | $ 23.66 | Â | Â | Â | Â | Â | Â (8) | 01/19/2015 | Common Stock | Â | 2,500 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KING SAMUEL C 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). |
(1) | The reporting person previously reported beneficial ownership of 14,798 shares of First Charter Corporation common stock (previously owned by his mother) as executor of her estate. Following probate in November 2006 he acquired direct ownership of 7,399 shares of First Charter Corporation common stock with the remaining shares distributed to other beneficiaries, as to which he has no investment or ownership interest. |
(7) | Phantom stock acquired under First Charter Corporation's Deferred Comp Plan for Non-Employee directors. Includes all units previously reported. |
(4) | Includes 23 shares acquired under the First Charter Corporation dividend reinvestment plan since the date of the reporting person's last report. |
(2) | Includes 503 shares acquired under the First Charter Corporation dividend reinvestment plan since the date of the reporting person's last report. |
(6) | Non-Employee directors may withdraw common stock from the deferred comp plan the first day of the calendar month following retirement, death, or termination. |
(8) | All Options are currently exercisable |
(3) | Includes 64.011 shares acquired under the First Charter Corporation dividend reinvestment plan since the date of the reporting person's last report. |
(5) | One for One |