-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, PQ/cwJWYWeQbkP+LY201d3mwveHGXhrWVBjClgeKY/J6Qxpf5IXt+EMYni0f+5QQ xPZWRCHG4udURyK8yVmD/w== 0001210748-03-000001.txt : 20030722 0001210748-03-000001.hdr.sgml : 20030722 20030722110543 ACCESSION NUMBER: 0001210748-03-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030721 FILED AS OF DATE: 20030722 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EGGLESTON ALAN P CENTRAL INDEX KEY: 0001210748 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11967 FILM NUMBER: 03795749 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: 1231 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 1 primary_doc.xml PRIMARY DOCUMENT 4 2003-07-21 0 0000910322 ASTORIA FINANCIAL CORP AF 0001210748 EGGLESTON ALAN P 0 1 0 0 EVP, Secretary,General Counsel Common Stock 2003-07-21 4 M 0 44912 11.218 A 123688 D Common Stock 2003-07-21 4 F 0 7167 27.84 D 116521 D Common Stock 2003-07-21 4 S 0 26029 28 D 90492 D Stock Option 11.2188 2003-07-21 4 M 0 44912 0 A 2000-12-21 2005-12-20 Common Stock 44912 0 D Options were granted pursuant to the Astoria Financial 1993 Incentive Stock Option Plan. 11,716 were Incentive Stock Options and 33,196 were Non Statutory Stock Options. In addition, the reporting person holds 357,000 addditional stock options as follows: (a)20,000 non-statutory options at an exercise price of $18.00 per share granted pursuant to the 1996 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1996 Plan, exercisable August 19, 1998 and expiring on December 17 2006; (b)35,000 non-statutory options at an exercise price of $29.06250 per share granted pursuant to the 1996 Plan, exercisable August 19,1998 and expiring on December 16,2007; (c) 4,438 incentive options at an exercise price of $22.53125 per share granted pursuant to the 1996 Plan, exercisable January 10, 2002 and expiring on December 15, 2008; (d) 35,562 non-statutory options at an exercise price of $ 22.53125 per share granted pursuant to the 1996 Plan, exercisable January 10, 2002 and expiring on December 15, 2008; (e)6,694 incentive options at an exercise price of $14.93750 per share granted pursuant to the 1999 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1999 Plan, exercisable January 10, 2003,and expiring on December 14 2009; (f)41,306 non-statutory options at an exercise price of $14.93750 per share granted pursuant to the 1999 Plan, exercisable January 10, 2003, and expiring on December 14,2009; (g) 4,024 incentive options at an exercise price of $24.84375 per share granted pursuant to the 1999 Plan, exercisable January 10, 2004 and expiring on December 19, 2010; (h) 65,976 non-statutory options at an exercise price of $ 24.84375 per share granted pursuant to the 1999 Plan, exercisable January 10, 2004 and expiring on December 19, 2010; (i)3,960 incentive options at an exercise price of $25.25 per share granted pursuant to the 1999 Plan, exercisable January 10, 2005,and expiring on December 18 2011; (j)59,040 non-statutory options at an exercise price of $25.25 per share granted pursuant to the 1999 Plan, exercisable January 10, 2005, and expiring on December 18,2011; (k) 3,703 incentive options at an exercise price of $27.00 per share granted pursuant to the 1999 Plan, exercisable January 10, 2006 and expiring on December 17, 2012; (l) 77,297 non-statutory options at an exercise price of $ 27.00 per share granted pursuant to the 1999 Plan, exercisable January 10, 2006 and expiring on December 17, 2012. All such option are directly owned, the underlying securities are common stock and were issued for $0.00. In addition, Mr. Eggleston indirectly owns a total of 21,706.76 shares consisting of (a) 17,330.34 shares allocated to Mr. Eggleston's account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan ("ESOP") as of March 26, 2003 and held in the ESOP trust; and (b) 4,376.42 shares held in the Employer Stock Fund of the Astoria Incentive Savings Plan ("401(k)Plan") for the account of Mr. Eggleston as of March 26, 2003 and held in the 401(k) Plan Trust. Alan P. Eggleston 2003-07-22 -----END PRIVACY-ENHANCED MESSAGE-----