0001144204-14-007387.txt : 20140210 0001144204-14-007387.hdr.sgml : 20140210 20140210185438 ACCESSION NUMBER: 0001144204-14-007387 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140210 FILED AS OF DATE: 20140210 DATE AS OF CHANGE: 20140210 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ASTORIA FINANCIAL CORP CENTRAL INDEX KEY: 0000910322 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 113170868 STATE OF INCORPORATION: DE FISCAL YEAR END: 0319 BUSINESS ADDRESS: STREET 1: ONE ASTORIA FEDERAL PLAZA CITY: LAKE SUCCESS STATE: NY ZIP: 11042-1085 BUSINESS PHONE: 5163273000 MAIL ADDRESS: STREET 1: ONE ASTORIA FEDERAL PLAZA CITY: LAKE SUCCESS STATE: NY ZIP: 11042-1085 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: REDMAN MONTE N CENTRAL INDEX KEY: 0001210755 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11967 FILM NUMBER: 14590820 MAIL ADDRESS: STREET 1: ONE ASTORIA FEDERAL PLAZA CITY: LAKE SUCCESS STATE: NY ZIP: 11042 4 1 form465870_20140210065351-.xml X0306 4 2014-02-10 0 0000910322 ASTORIA FINANCIAL CORP AF 0001210755 REDMAN MONTE N ONE ASTORIA FEDERAL PLAZA LAKE SUCCESS NY US 11042 1 1 0 0 President and CEO Common Stock 9322.41 I Spouse Common Stock 56034.77 I ESOP Common Stock 30561.49 I 401k Common Stock 23938 I RSA Common Stock 39376 I RSA Common Stock 65000 I RSA Common Stock 43160 I RSA Common Stock 53250 I RSA Common Stock 2014-02-10 4 G 0 320 D 599793.27 D Non-Statutory Stock Option 26.6267 2005-12-22 2014-12-14 Common Stock 3754 3754 D Non-Statutory Stock Option 26.6267 2005-12-22 2014-12-14 Common Stock 176246 176246 D Includes shares acquired pursuant to the Astoria Financial Corporation Dividend Reinvestment Stock Purchase Plan which are exempt from the operation of Section 16 of the Securities Exchange Act of 1934 that are held by Mr. Redman's spouse. Represents shares allocated to Mr. Redman's account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan ("ESOP") as of December 31, 2013 and held in the ESOP Trust. Represents shares held in the Employer Stock Fund of Astoria Incentive Savings Plan ("401(k) Plan") for the account of Mr. Redman as of December 31, 2013. Shares are held in the 401(k) Plan Trust. Represents award of restricted stock dated February 1, 2010 pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2005 Plan). The shares of restricted stock will vest as follows: 23,938 shares on December 15, 2014 or, if earlier, upon the death, Disability or Change in Control (as such terms are defined in the 2005 Plan) or, pursuant to the terms of his employment agreements with the Company and Astoria Federal Savings and Loan Association (the Association), upon his termination of employment by the Company or the Association prior to the end of the term of such employment agreements without Cause, as defined therein. Represents award of restricted stock dated January 31, 2011 pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2005 Plan). The shares of restricted stock will vest as follows: 19,688 shares on December 15, 2014, and 19,688 shares on December 14, 2015 or, if earlier, upon the death, Disability or Change in Control (as such terms are defined in the 2005 Plan) or, pursuant to the terms of his employment agreements with the Company and Astoria Federal Savings and Loan Association (the Association), upon his termination of employment by the Company or the Association prior to the end of the term of such employment agreements without Cause, as defined therein. Represents award of performance-based Restricted Stock effective July 1, 2011 pursuant to the 2005 Re-Designated, Amended and Restated Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation. Both the vesting and performance period of the grant is five years. The shares include voting rights. Dividends, if any, with respect to such shares will be accumulated and be subject to the same vesting and performance criteria as the shares themselves. The shares and related dividends will vest if the performance target is reached at the conclusion of the performance period, or earlier upon a Change of Control, as defined in the Plan. In the event Mr. Redman otherwise becomes entitled to severance benefits beyond Standard Termination Entitlements pursuant to the terms of his employment agreements with the Company and the Association or if he dies or become disabled prior to vesting, the award will remain outstanding subject to the performance and vesting conditions referenced above, unless otherwise settled by the Corporation and Association pursuant to the terms of such employment agreements. Represents award of restricted stock dated January 28, 2013 pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2005 Plan). The shares of restricted stock will vest as follows: 21,580 shares on December 15, 2014, and 21,580 shares on December 14, 2015 or, if earlier, upon the death, Disability or Change in Control (as such terms are defined in the 2005 Plan) or, pursuant to the terms of his employment agreements with the Company and Astoria Federal Savings and Loan Association (the Association), upon his termination of employment by the Company or the Association prior to the end of the term of such employment agreements without Cause, as defined therein. Represents award of restricted stock dated February 3, 2014 pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2005 Plan). The shares of restricted stock will vest as follows: 17,750 shares on December 15, 2014, 17,750 shares on December 14, 2015, and 17,750 shares on December 14, 2016 or, if earlier, upon the death, Disability or Change in Control (as such terms are defined in the 2005 Plan) or, pursuant to the terms of his employment agreements with the Company and Astoria Federal Savings and Loan Association (the Association), upon his termination of employment by the Company or the Association prior to the end of the term of such employment agreements without Cause, as defined therein. Options were granted pursuant to the 2003 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 2003 Plan. Includes shares acquired pursuant to the Astoria Financial Corporation Automatic Dividend Reinvestment Stock Purchase Plan which are exempt from the operation of Section 16 of the Securities Exchange Act of 1934 and are beneficially owned directly by Mr. Redman. On February 10, 2014, Mr. Redman gifted 320 shares of Astoria Financial Corporation Common Stock to his daughter, Susan Redman. Monte N. Redman 2014-02-10