SEC Form 4
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
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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*
GREENBERG ARNOLD K

(Last) (First) (Middle)
ONE ASTORIA FEDERAL PLAZA

(Street)
LAKE SUCCESS NY US 11042

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ASTORIA FINANCIAL CORP [ AF ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
Officer (give title below) X Other (specify below)
Former Exec Vice President
3. Date of Earliest Transaction (Month/Day/Year)
09/13/2012
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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 965.21 I (2) IRA Spouse
Common Stock 60,000 I (3) Spouse
Common Stock 09/13/2012 J 51,899.946 D $0 0 I (4) ESOP
Common Stock 09/13/2012 J 51,899.946 A $0 305,566.236 D (5)
Common Stock 09/13/2012 S 0.946 D $10.7434 305,565.29 D (9)
Common Stock 09/13/2012 J 78,229.1659 D $0 0 I (10) 401(k)
Common Stock 09/13/2012 J 78,229.1659 A $0 383,794.4559 D (1)
Common Stock 09/13/2012 S 2,282.1659 D $10.7434 381,512.29 D
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 (6) $18 01/10/2006 12/17/2012 Common Stock 5,554 5,554 D
Non-Statutory Stock Option (6) $18 01/10/2006 12/17/2012 Common Stock 124,946 124,946 D
Non-Statutory Stock Option (7) $24.4 12/22/2005 05/01/2013 Common Stock 4,098 4,098 D
Non-Statutory Stock Option (7) $24.4 12/22/2005 05/01/2013 Common Stock 90,402 90,402 D
Non-Statutory Stock Option (7) $26.6267 12/22/2005 05/01/2013 Common Stock 3,754 3,754 D
Non-Statutory Stock Option (7) $26.6267 12/22/2005 05/01/2013 Common Stock 128,246 128,246 D
Non-Statutory Stock Option (8) $29.02 01/09/2009 12/20/2012 Common Stock 112,700 112,700 D
Explanation of Responses:
1. 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.
2. 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.
3. Shares are held by Mr. Greenberg's spouse.
4. 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.
5. Represents an In-kind Distribution from ESOP which is a change in ownership from indirect to direct.
6. Options were granted pursuant to the 1999 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1999 Plan.
7. Options were granted pursuant to the 2003 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 2003 Plan.
8. Options were granted pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation, or the 2005 Plan.
9. 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.
10. 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 09/17/2012
** 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).
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