-----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, IJ63+uaP1NKq2Tgz2mAPTZ+7Z26bxJh3SfErt9tcW6uBn/T7WRJCUFUMzY9QafJm EOKprynal5PIt4wRf+uvZQ== 0001210749-08-000001.txt : 20080423 0001210749-08-000001.hdr.sgml : 20080423 20080423164551 ACCESSION NUMBER: 0001210749-08-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080423 FILED AS OF DATE: 20080423 DATE AS OF CHANGE: 20080423 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ENGELKE GEORGE L JR CENTRAL INDEX KEY: 0001210749 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11967 FILM NUMBER: 08772216 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 1 primary_doc.xml PRIMARY DOCUMENT X0202 4 2008-04-23 0 0000910322 ASTORIA FINANCIAL CORP AF 0001210749 ENGELKE GEORGE L JR ONE ASTORIA FEDERAL PLAZA LAKE SUCCESS NY 11042 1 1 0 0 Chairman & CEO Common Stock 2008-04-23 4 M 0 251343 15.0209 A 1439281 D Common Stock 6000 I Spouse Common Stock 38722.51 I ESOP Common Stock 32915.68 I 401(k) Common Stock 30000 I RSA Common Stock 42800 I RSA Common Stock 53600 I RSA Non-Statutory Stock Option 15.0209 2008-04-23 4 M 0 251343 0 D 2002-01-10 2008-12-15 Common Stock 251343 0 D Non-Statutory Stock Option 9.9583 2003-01-10 2009-12-14 Common Stock 328959 328959 D Non-Statutory Stock Option 16.5625 2004-01-10 2010-12-19 Common Stock 413964 413964 D Incentive Stock Option 16.8333 2005-01-10 2011-12-18 Common Stock 5940 5940 D Non-Statutory Stock Option 16.8333 2005-01-10 2011-12-18 Common Stock 369060 369060 D Incentive Stock Option 18 2006-01-10 2012-12-17 Common Stock 5554.5 5554.5 D Non-Statutory Stock Option 18 2006-01-10 2012-12-17 Common Stock 399445.5 399445.5 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 310902 310902 D Non-Statutory Stock Option 26.6267 2005-12-22 2014-12-14 Common Stock 3754.5 3754.5 D Non-Statutory Stock Option 26.6267 2005-12-22 2014-12-14 Common Stock 393745.5 393745.5 D Non-Statutory Stock Option 29.02 2009-01-09 2012-12-20 Common Stock 345000 345000 D Shares are held by Mr. Engelke's spouse. Represents shares allocated to Mr. Engelke's account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan ("ESOP") as of December 31, 2007 and held in the ESOP Trust. Represents shares held in the Employer Stock Fund of the Astoria Incentive Savings Plan ("401(k) Plan") for the account of Mr. Engelke, Jr. as of March 26, 2008. Shares are held in the 401(k) Plan Trust. Represents 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 will vest and be distributed effective January 9, 2009 or earlier upon the death, disability or retirement at normal retirement age, on a change of control, or, in the case of executive officers, pursuant to the terms of their respective employment agreements with the Company, upon the termination of employment by the Company prior to the end of the term of such employment agreement without cause, as defined therein. Represents 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 will vest and be distributed effective January 9, 2012 or earlier upon the death, disability or retirement at normal retirement age, on a change of control, or, in the case of executive officers, pursuant to the terms of their respective employment agreements with the Company, upon the termination of employment by the Company prior to the end of the term of such employment agreement without cause, as defined therein. Represents 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 will vest over three (3) years and be distributed in accordance with the following vesting schedule: 30% on January 28, 2009; 30% on January 28, 2010; and 40% on January 28, 2011 or earlier upon the death, disability or Change in Control (as defined in the 2005 Plan), pursuant to the terms of his respective employment agreements with the Company, upon the termination of employment by the Company prior to the end of the term of such employment agreement without cause, as defined therein. Options were granted pursuant to the 1996 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1996 Plan. Options were granted pursuant to the 1999 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1999 Plan. Options were granted pursuant to the 2003 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 2003 Plan. Options were granted pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation, or the 2005 Plan. George L. Engelke, Jr. 2008-04-23 -----END PRIVACY-ENHANCED MESSAGE-----