-----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, SyfsP3ODnPr8HHBW5oqLjCgJZoX0o1WRAhw8Xa5QIhPygeXqGRYA+YvnfG3O9k7o J+6hNUaAPW19uO0bECm/uA== 0001210863-10-000005.txt : 20101217 0001210863-10-000005.hdr.sgml : 20101217 20101217102125 ACCESSION NUMBER: 0001210863-10-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101214 FILED AS OF DATE: 20101217 DATE AS OF CHANGE: 20101217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GREENBERG ARNOLD K CENTRAL INDEX KEY: 0001210863 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11967 FILM NUMBER: 101258702 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 2010-12-14 0 0000910322 ASTORIA FINANCIAL CORP AF 0001210863 GREENBERG ARNOLD K ONE ASTORIA FEDERAL PLAZA LAKE SUCCESS NY 11042 0 1 0 0 Executive Vice President Common Stock 2010-12-14 4 J 0 8950 0 D 17900 I RSA Vest Common Stock 2010-12-15 4 F 0 10 13.35 D 0 D Common Stock 2010-12-15 4 F 0 300 13.41 D 0 D Common Stock 2010-12-15 4 F 0 450 13.4101 D 0 D Common Stock 2010-12-15 4 F 0 400 13.44 D 0 D Common Stock 2010-12-15 4 F 0 200 13.4401 D 0 D Common Stock 2010-12-15 4 F 0 100 13.4801 D 0 D Common Stock 2010-12-15 4 F 0 533 13.49 D 0 D Common Stock 2010-12-15 4 F 0 867 13.4901 D 0 D Common Stock 2010-12-15 4 F 0 200 13.495 D 0 D Common Stock 2010-12-15 4 F 0 200 13.5 D 0 D Common Stock 2010-12-14 4 J 0 5690 13.535 A 263637.79 D Common Stock 899.56 I IRA Spouse Common Stock 60000 I Spouse Common Stock 44166.62 I ESOP Common Stock 69170.11 I 401(k) Common Stock 16600 I RSA Common Stock 6120 I RSA Common Stock 32580 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 98964 98964 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 94560 94560 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 124946 124946 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 90402 90402 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 128246 128246 D Non-Statutory Stock Option 29.02 2009-01-09 2012-12-20 Common Stock 112700 112700 D Represents one-third 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 12/14/2010. The transaction represents a change in the form of beneficial ownership from indirect to direct. 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: 8,950 shares on December 14, 2011 and 8,950 shares on December 14, 2012 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. In accordance with a rule 10b5-1 Sales Plan, shares were sold for taxes 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. Includes shares acquired pursuant to the Astoria Financial Corporation Automatic Dividend Reinvestment Stock Purchase Plan which are exempt from the operation of Section 16 of the Securities Exchange Act of 1934 and are beneficially owned directly by Mr. Greenberg. Includes shares acquired pursuant to the Astoria Financial Corporation Automatic Dividend Reinvestment Stock Purchase Plan which are exempt from the operation of Section 16 of the Securities Exchange Act of 1934 and are held in the Individual Retirement Account of Mr. Greenberg's spouse. Shares are held by Mr. Greenberg's spouse. Represents shares allocated to Mr. Greenberg's account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan ("ESOP") as of September 30, 2010 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. Greenberg as of September 30, 2010. Shares are held in the 401(k) Plan Trust. Represents award of restricted stock dated December 20, 2006 pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2005 Plan). The restricted stock will vest on January 9, 2012 or, if earlier, upon the death, Disability or retirement at normal retirement age, or Change of 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 the 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, 2008 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: 6,120 shares on January 28, 2011 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 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:16,290 shares on December 15, 2010 and 16,290 shares on December 15, 2011 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 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. Arnold K. Greenberg 2010-12-17 -----END PRIVACY-ENHANCED MESSAGE-----