-----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, PnGuUqeVgV8Mn9xcbhae4f7g1SCblAaptLvyxnrqJ9ZlggA4vQK7ij/x7Fg6xW1G IOveFWCtvJw3koAc/1NVlQ== 0001210751-09-000001.txt : 20090113 0001210751-09-000001.hdr.sgml : 20090113 20090113162602 ACCESSION NUMBER: 0001210751-09-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090109 FILED AS OF DATE: 20090113 DATE AS OF CHANGE: 20090113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KEEGAN GERARD C CENTRAL INDEX KEY: 0001210751 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11967 FILM NUMBER: 09524138 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 X0303 4 2009-01-09 0 0000910322 ASTORIA FINANCIAL CORP AF 0001210751 KEEGAN GERARD C ONE ASTORIA FEDERAL PLAZA LAKE SUCCESS NY 11042 0 1 0 0 Vice Chairman&Chief Admin Off Common Stock 2009-01-09 4 J 0 13150 0 D 0 I RSA Vest Common Stock 2009-01-12 4 F 0 2895 14.74 D 0 D Common Stock 2009-01-12 4 F 0 1200 14.79 D 0 D Common Stock 2009-01-12 4 F 0 800 14.8 D 0 D Common Stock 2009-01-09 4 J 0 8255 15.31 A 136707 D Common Stock 21490.5 I ESOP Common Stock 22800 I RSA Common Stock 32700 I RSA Incentive Stock Option 16.5625 2004-01-10 2010-12-19 Common Stock 6036 6036 D Non-Statutory Stock Option 16.5625 2004-01-10 2010-12-19 Common Stock 113964 113964 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 102060 102060 D Incentive Stock Option 18 2006-01-10 2012-12-17 Common Stock 5554 5554 D Non-Statutory Stock Option 18 2006-01-10 2012-12-17 Common Stock 136946 136946 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 97902 97902 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 140246 140246 D Non-Statutory Stock Option 29.02 2009-01-09 2012-12-20 Common Stock 122900 122900 D Represents 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 1/9/2009. The transaction represents a change in the form of beneficial ownership from indirect to direct. In accordance with a Rule 10b5-1 Sales Plan, shares were sold for taxes due at vest. Represents value of restricted stock at time of vesting and is the value of services rendered by the Reporting Person to the Issuer. Represents shares allocated to Mr. Keegan's account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan ("ESOP") as of December 31, 2008 and held in the ESOP 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, 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 and be distributed effective January 28, 2013 or earlier upon the death, disability, on a Change in Control (as defined in the 2005 Plan), 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. 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. Gerard C. Keegan 2009-01-13 -----END PRIVACY-ENHANCED MESSAGE-----