0001182489-14-001220.txt : 20141216
0001182489-14-001220.hdr.sgml : 20141216
20141216204704
ACCESSION NUMBER: 0001182489-14-001220
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20141215
FILED AS OF DATE: 20141216
DATE AS OF CHANGE: 20141216
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 BANK PLAZA
CITY: LAKE SUCCESS
STATE: NY
ZIP: 11042-1085
BUSINESS PHONE: 5163273000
MAIL ADDRESS:
STREET 1: ONE ASTORIA BANK PLAZA
CITY: LAKE SUCCESS
STATE: NY
ZIP: 11042-1085
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Edwards Brian T
CENTRAL INDEX KEY: 0001538932
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11967
FILM NUMBER: 141291086
MAIL ADDRESS:
STREET 1: ONE ASTORIA FEDERAL PLAZA
CITY: LAKE SUCCESS
STATE: NY
ZIP: 11042
4
1
edgar.xml
FORM 4 -
X0306
4
2014-12-15
0
0000910322
ASTORIA FINANCIAL CORP
AF
0001538932
Edwards Brian T
ONE ASTORIA BANK PLAZA
LAKE SUCCESS
NY
11042
0
1
0
0
Executive Vice President
Common Stock
2014-12-15
4
J
0
2846
0
D
0
I
RSA Vest
Common Stock
2014-12-16
4
F
0
1100
12.7585
D
0
D
Common Stock
2014-12-15
4
J
0
1746
12.755
A
42738
D
Common Stock
2014-12-15
4
J
0
2102
0
D
2102
I
RSA Vest
Common Stock
2014-12-16
4
F
0
813
12.7585
D
0
D
Common Stock
2014-12-15
4
J
0
1289
12.755
A
44027
D
Common Stock
2014-12-15
4
J
0
5550
0
D
5550
I
RSA Vest
Common Stock
2014-12-16
4
F
0
2145
12.7585
D
0
D
Common Stock
2014-12-15
4
J
0
3405
12.755
A
47432
D
Common Stock
2014-12-15
4
J
0
2270
0
D
4540
I
RSA Vest
Common Stock
2014-12-16
4
F
0
877
12.7585
D
0
D
Common Stock
2014-12-15
4
J
0
1393
12.755
A
48825
D
Common Stock
21801.20
I
401(k)
Represents shares held in the Employer Stock Fund of the Astoria Bank 401(k) Plan for the account of Mr. Edwards as of November 21, 2014. Shares are held in the 401(k) Plan Trust.
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: 2,102 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 Bank (the Bank), upon his termination of employment by the Company or the Bank prior to the end of the term of such employment agreements without Cause, as defined therein.
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: 5,550 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 Bank (the Bank), upon his termination of employment by the Company or the Bank 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: 2,270 shares on December 14, 2015, and 2,270 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 Bank (the Bank), upon his termination of employment by the Company or the Bank prior to the end of the term of such employment agreements without Cause, as defined therein.
Represents 20% vesting of a previous award of restricted stock pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation, or the 2005 Plan. The restricted stock vested and was distributed on December 15, 2014. The transaction represents a change in the form of beneficial ownership from indirect to direct.
Represents one-third vesting of a previous award of restricted stock pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation, or the 2005 Plan. The restricted stock vested and was distributed on December 15, 2014. The transaction represents a change in the form of beneficial ownership from indirect to direct.
In accordance with a Rule 10b5-1 Sales Plan, shares were sold for taxes at vest.
Represents value of restricted stock at time of vesting and is the value of services rendered by the Reporting Person to the Issuer.
This transaction was executed in multiple trades at prices ranging from $12.70 to $12.90. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Brian T. Edwards by Yvonne Schade, attorney-in-fact
2014-12-16