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*
EGGLESTON ALAN P

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

(Street)
LAKE SUCCESS NY 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
X Officer (give title below) Other (specify below)
Exec V.P., Sec. & Gen. Counsel
3. Date of Earliest Transaction (Month/Day/Year)
01/27/2004
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 01/27/2004 S 11,800 D $39 94,892 D
Common Stock 17,330.34 I(1) ESOP
Common Stock 4,722.37 I(2) 401(k)
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
Non-Statutory Stock Option(3) $29.0625 08/19/1998 12/16/2007 Common Stock 35,000 35,000 D
Incentive Stock Option(3) $22.5312 01/10/2002 12/15/2008 Common Stock 4,438 4,438 D
Non-Statutory Stock Option(3) $22.5312 01/10/2002 12/15/2008 Common Stock 35,562 35,562 D
Incentive Stock Option(4) $14.9375 01/10/2003 12/14/2009 Common Stock 6,694 6,694 D
Non-Statutory Stock Option(4) $14.9375 01/10/2003 12/14/2009 Common Stock 41,306 41,306 D
Incentive Stock Option(4) $24.8438 01/10/2004 12/19/2010 Common Stock 4,024 4,024 D
Non-Statutory Stock Option(4) $24.8438 01/10/2004 12/19/2010 Common Stock 65,976 65,976 D
Incentive Stock Option(4) $25.25 01/10/2005 12/18/2011 Common Stock 3,960 3,960 D
Non-Statutory Stock Option(4) $25.25 01/10/2005 12/18/2011 Common Stock 59,040 59,040 D
Incentive Stock Option(4) $27 01/10/2006 12/17/2012 Common Stock 3,703 3,703 D
Non-Statutory Stock Option(4) $27 01/10/2006 12/17/2012 Common Stock 77,297 77,297 D
Incentive Stock Option(5) $36.6 01/10/2007 12/16/2013 Common Stock 2,732 2,732 D
Non-Statutory Stock Option(5) $36.6 01/10/2007 12/16/2013 Common Stock 56,268 56,268 D
Explanation of Responses:
1. Represents shares allocated to Mr. Eggleston's account under the Astoria Federal Savings and Loan Associations Employee Stock Ownership Plan ("ESOP") as of March 26, 2003 and are held in the ESOP Trust.
2. Represents shares held in the Employer Stock Fund of the Astoria Federal Savings and Loan Associations Incentive Savings Plan ("401(k) Plan") for the account of Mr. Eggleston as of September 5, 2003. Shares are held in the 401(k) Trust.
3. Options were granted pursuant to the 1996 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1996 Plan.
4. Options were granted pursuant to the 1999 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1999 Plan.
5. Options were granted pursuant to the 2003 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 2003 Plan.
Alan P. Eggleston 01/28/2004
** 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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