0001144204-12-051811.txt : 20120918 0001144204-12-051811.hdr.sgml : 20120918 20120918100913 ACCESSION NUMBER: 0001144204-12-051811 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20120913 FILED AS OF DATE: 20120918 DATE AS OF CHANGE: 20120918 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GREENBERG ARNOLD K CENTRAL INDEX KEY: 0001210863 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11967 FILM NUMBER: 121096313 MAIL ADDRESS: STREET 1: ONE ASTORIA FEDERAL PLAZA CITY: LAKE SUCCESS STATE: NY ZIP: 11042 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 4 1 form453099_20120918100857-.xml X0306 4 2012-09-13 1 0000910322 ASTORIA FINANCIAL CORP AF 0001210863 GREENBERG ARNOLD K ONE ASTORIA FEDERAL PLAZA LAKE SUCCESS NY US 11042 0 0 0 1 Former Exec Vice President Common Stock 965.21 I IRA Spouse Common Stock 60000 I Spouse Common Stock 2012-09-13 4 J 0 51899.946 0 D 0 I ESOP Common Stock 2012-09-13 4 J 0 51899.946 0 A 305566.236 D Common Stock 2012-09-13 4 S 0 0.946 10.7434 D 305565.29 D Common Stock 2012-09-13 4 J 0 78229.1659 0 D 0 I 401(k) Common Stock 2012-09-13 4 J 0 78229.1659 0 A 383794.4559 D Common Stock 2012-09-13 4 S 0 2282.1659 10.7434 D 381512.29 D Incentive Stock Option 18 2006-01-10 2012-12-17 Common Stock 5554 5554 D Non-Statutory Stock Option 18 2006-01-10 2012-12-17 Common Stock 124946 124946 D Non-Statutory Stock Option 24.4 2005-12-22 2013-05-01 Common Stock 4098 4098 D Non-Statutory Stock Option 24.4 2005-12-22 2013-05-01 Common Stock 90402 90402 D Non-Statutory Stock Option 26.6267 2005-12-22 2013-05-01 Common Stock 3754 3754 D Non-Statutory Stock Option 26.6267 2005-12-22 2013-05-01 Common Stock 128246 128246 D Non-Statutory Stock Option 29.02 2009-01-09 2012-12-20 Common Stock 112700 112700 D 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. Greenberg. 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 held in the Individual Retirement Account of Mr. Greenberg's spouse. Shares are held by Mr. Greenberg's spouse. Represents shares allocated to Mr. Greenberg's account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan ("ESOP") as of 9-13-2012 and held in the ESOP Trust. Represents an In-kind Distribution from ESOP which is a change in ownership from indirect to direct. Options were granted pursuant to the 1999 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1999 Plan. Options were granted pursuant to the 2003 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 2003 Plan. Options were granted pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation, or the 2005 Plan. Represents shares held in the Employer Stock Fund of the Astoria Incentive Savings Plan ("401(k) Plan") for the account of Mr. Greenberg as of 9-13-2012. Shares are held in the 401(k) Plan Trust. Represents an In-kind Distribution from the 401(k) Plan which is a change in ownership from indirect to direct. Arnold K. Greenberg by Yvonne Schade, Attorney-in-fact 2012-09-17 EX-24 2 ex-24.htm POWER OF ATTORNEY

I hereby authorize and designate Monte N. Redman,
Alan P. Eggleston, Thomas E. Lavery, Michele M. Weber,
Peter J. Cunningham, Frank E. Fusco, Steven G. Miss and
Yvonne Schade, or any one of them acting as agent and
attorney-in-fact, with full power of substitution, to:

(1) prepare and sign on my behalf any Form 3,
Form 4 or Form 5 pursuant to Section 16 of the
Securities Exchange Act of 1934, as amended,
and file the same with the Securities
Exchange Commission, NYSE, and
each stock exchange on which Astoria
Financial Corporation's common stock or
other securities are listed, as required by law;

(2) prepare and sign on my behalf any Form 144
pursuant to the Securities Act of 1933, as
amended, and file the same with the Securities
Exchange Commission, NYSE, and
each stock exchange on which Astoria
Financial Corporation's common stock or
other securities are listed, as required by law;
and

(3) do anything else necessary or proper in
connection with the foregoing.

This Power of Attorney shall remain in effect as long as
I am an affiliate of Astoria Financial Corporation, and shall
not be affected by my subsequent disability or incompetence.

Date: January 5, 2012

Arnold K. Greenberg