FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
|||||||||||||||
|
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
ROSLYN BANCORP INC [ RSLN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 10/31/2003 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 10/31/2003 | D | 32,368(1) | D | $0(2) | 0 | D | |||
Common Stock | 10/31/2003 | D | 3,467 | D | $0(3) | 0 | I | By BRP(4) | ||
Common Stock | 10/31/2003 | D | 3,928 | D | $0(5) | 0 | I | By ESOP(4) | ||
Common Stock | 10/31/2003 | D | 1,694 | D | $0(6) | 0 | I | By IRA | ||
Common Stock | 10/31/2003 | D | 4,500 | D | $0(7) | 0 | I | By Stock Award | ||
Common Stock | 10/31/2003 | D | 4,107 | D | $0(8) | 0 | I | By Stock Award II(1) | ||
Common Stock | 10/31/2003 | D | 6,000 | D | $0(9) | 0 | I | By Stock Award III | ||
Common Stock | 10/31/2003 | D | 44,297 | D | $0(10) | 0 | I | By Stock Award IV | ||
Common Stock | 10/31/2003 | D | 5,833 | D | $0(11) | 0 | I | By Stock Award V |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Incentive Stock Option (right to buy) | $12 | 10/31/2003 | D | 30,000 | 02/01/2000(12) | 02/01/2009 | Common Stock | 30,000 | $0(12) | 0 | D | ||||
Incentive Stock Option (right to buy) | $16.707 | 10/31/2003 | D | 7,500 | 02/02/2002(13) | 02/02/2011 | Common Stock | 7,500 | $0(13) | 0 | D | ||||
Incentive Stock Option (right to buy) | $18.4 | 10/31/2003 | D | 4,551 | 06/26/2002(14) | 06/26/2011 | Common Stock | 4,551 | $0(14) | 0 | D | ||||
Non-Statutory Stock Option (right to buy) | $18.4 | 10/31/2003 | D | 39,189 | 06/26/2002(15) | 06/26/2011 | Common Stock | 39,189 | $0(15) | 0 | D | ||||
Non-Statutory Stock Option (right to buy) | $18.4 | 10/31/2003 | D | 163,500 | 06/26/2002(16) | 06/26/2011 | Common Stock | 163,500 | $0(16) | 0 | D | ||||
Non-Statutory Stock Option (right to buy) | $21.35 | 10/31/2003 | D | 24,634 | 06/25/2003(17) | 06/25/2012 | Common Stock | 24,634 | $0(17) | 0 | D |
Explanation of Responses: |
1. Since the reporting person's last report 3,984 shares previously held through Stock Award II have vested and are now owned directly. |
2. Disposed of pursuant to merger agreement between issuer and New York Community Bancorp, Inc. in exchange for 24,276 shares of New York Community Bancorp, Inc. common stock having a market value of $36.20 per share on the closing date of the merger. |
3. Disposed of pursuant to merger agreement between issuer and New York Community Bancorp, Inc. in exchange for 2,600 shares of New York Community Bancorp, Inc. common stock having a market value of $36.20 per share on the closing date of the merger. |
4. This form reflects increases in beneficial ownership resulting from exempt acquisitions under the BRP and ESOP pursuant to Rule 16b-3(c). |
5. Disposed of pursuant to merger agreement between issuer and New York Community Bancorp, Inc. in exchange for 2,946 shares of New York Community Bancorp, Inc. common stock having a market value of $36.20 per share on the closing date of the merger. |
6. Disposed of pursuant to merger agreement between issuer and New York Community Bancorp, Inc. in exchange for 1,270 shares of New York Community Bancorp, Inc. common stock having a market value of $36.20 per share on the closing date of the merger. |
7. Disposed of pursuant to merger agreement between issuer and New York Community Bancorp, Inc. in exchange for 3,375 shares of New York Community Bancorp, Inc. common stock having a market value of $36.20 per share on the closing date of the merger. |
8. Disposed of pursuant to merger agreement between issuer and New York Community Bancorp, Inc. in exchange for 3,080 shares of New York Community Bancorp, Inc. common stock having a market value of $36.20 per share on the closing date of the merger. |
9. Disposed of pursuant to merger agreement between issuer and New York Community Bancorp, Inc. in exchange for 4,500 shares of New York Community Bancorp, Inc. common stock having a market value of $36.20 per share on the closing date of the merger. |
10. Disposed of pursuant to merger agreement between issuer and New York Community Bancorp, Inc. in exchange for 33,222 shares of New York Community Bancorp, Inc. common stock having a market value of $36.20 per share on the closing date of the merger. |
11. Disposed of pursuant to merger agreement between issuer and New York Community Bancorp, Inc. in exchange for 4,374 shares of New York Community Bancorp, Inc. common stock having a market value of $36.20 per share on the closing date of the merger. |
12. This option, which provided for vesting in four annual installments beginning February 1, 2000, was assumed by New York Community Bancorp, Inc. in the merger and replaced with an option to purchase 22,500 shares of New York Community Bancorp, Inc. common stock for $16.00 per share. |
13. This option, which provided for vesting in four annual installments beginning February 2, 2002, was assumed by New York Community Bancorp, Inc. in the merger and replaced with an option to purchase 5,625 shares of New York Community Bancorp, Inc. common stock for $22.28 per share. |
14. This option, which provided for vesting in three equal annual installments beginning June 26, 2002, was assumed by New York Community Bancorp, Inc. in the merger and replaced with an option to purchase 3,413 shares of New York Community Bancorp, Inc. common stock for $24.53 per share. |
15. This option, which provided for vesting in four equal annual installments beginning June 26, 2002, was assumed by New York Community Bancorp, Inc. in the merger and replaced with an option to purchase 29,392 shares of New York Community Bancorp, Inc. common stock for $24.53 per share. |
16. This option, which provided for vesting in four annual installments beginning June 26, 2002, was assumed by New York Community Bancorp, Inc. in the merger and replaced with an option to purchase 122,625 shares of New York Community Bancorp, Inc. common stock for $24.53 per share. |
17. This option, which provided for vesting in three annual installments beginning June 25, 2003, was assumed by New York Community Bancorp, Inc. in the merger and replaced with an option to purchase 18,476 shares of New York Community Bancorp, Inc. common stock for $28.47 per share. |
Remarks: |
By: /s/ R. Patrick Quinn | 11/03/2003 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |