0001144204-14-045386.txt : 20140729 0001144204-14-045386.hdr.sgml : 20140729 20140729121926 ACCESSION NUMBER: 0001144204-14-045386 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140729 FILED AS OF DATE: 20140729 DATE AS OF CHANGE: 20140729 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gutauskas Matthew J CENTRAL INDEX KEY: 0001595356 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11967 FILM NUMBER: 14998891 MAIL ADDRESS: STREET 1: ONE ASTORIA FEDERAL PLAZA CITY: LAKE SUCCESS STATE: NY ZIP: 11042 4 1 form469729_20140729121853-.xml X0306 4 2014-07-29 0 0000910322 ASTORIA FINANCIAL CORP AF 0001595356 Gutauskas Matthew J ONE ASTORIA BANK PLAZA LAKE SUCCESS NY US 11042 0 1 0 0 Executive Vice President Common Stock 7298.33 I 401(k) Common Stock 4740 I RSA Common Stock 12630 I RSA Common Stock 12500 I RSA Common Stock 2014-07-29 4 S 0 5500 13.2279 D 6321 D Represents shares held in the Employer Stock Fund of Astoria Incentive Savings Plan ("401(k) Plan") for the account of Mr. Gutauskas as of June 30, 2014. Shares are held in the 401(k) Plan Trust. 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: 2,370 shares on December 15, 2014, and 2,370 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 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: 4,210 shares on December 15, 2014, 4,210 shares on December 14, 2015, and 4,210 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 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 July 11, 2012 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: 12,500 shares on July 10, 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. This transaction was executed in multiple trades at prices ranging from $13.19 to $13.26. 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. Matthew J. Gutauskas by Yvonne Schade, Attorney-in-fact 2014-07-29 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,
Theodore S. Ayvas, Frank E. Fusco, and Yvonne Schade,
or any one of them acting as agent and attorney-in-fact,
with the full power of the 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: December 23, 2013

Matthew J. Gutauskas