0001144204-13-004893.txt : 20130130 0001144204-13-004893.hdr.sgml : 20130130 20130130185748 ACCESSION NUMBER: 0001144204-13-004893 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130128 FILED AS OF DATE: 20130130 DATE AS OF CHANGE: 20130130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fusco Frank E CENTRAL INDEX KEY: 0001410082 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-11967 FILM NUMBER: 13560310 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/A 1 form4a57059_20130130065612-.xml X0306 4/A 2013-01-28 2013-01-30 0 0000910322 ASTORIA FINANCIAL CORP AF 0001410082 Fusco Frank E ONE ASTORIA FEDERAL PLAZA LAKE SUCCESS NY US 11042 0 1 0 0 Sr. Exec VP, and CFO Common Stock 1200 I Spouse Common Stock 48803.6 I ESOP Common Stock 16972 I RSA Common Stock 23100 I RSA Common Stock 30174 I RSA Common Stock 2013-01-28 4 A 0 30540 0 A 30540 I RSA Common Stock 2013-01-28 4 J 0 22400 0 D 0 I RSA Vest Common Stock 2013-01-28 4 J 0 22400 9.7 A 216019 D Non-Statutory Stock Option 24.4 2005-12-22 2013-12-16 Common Stock 4098 4098 D Non-Statutory Stock Option 24.4 2005-12-22 2013-12-16 Common Stock 42702 42702 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 57146 57146 D Shares are held by Mr. Fusco's spouse. Represents shares allocated to Mr. Fusco's account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan ("ESOP") as of December 31, 2012 and held in the ESOP Trust. Represents award of restricted stock dated February 2, 2009 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: 16,972 shares on December 16, 2013 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 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: 11,550 shares on December 16, 2013 and 11,550 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: 10,058 shares on December 16, 2013, 10,058 shares on December 15, 2014, and 10,058 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 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: 10,180 shares on December 16, 2013, 10,180 shares on December 15, 2014, and 10,180 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. Options were granted pursuant to the 2003 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 2003 Plan. Represents 100% 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 January 28, 2013. The transaction represents a change in the form of beneficial ownership from indirect to direct. Represents value of restricted stock at time of vesting and is the value of services rendered by the Reporting Person to the Issuer. Form 4 filed on 1/30/2013 inadvertently reported incorrect Vest Dates for the 1/28/2013 RSA Grant. Frank E. Fusco 2013-01-30