-----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, IdSRfcWn2m4VSke0qAcj8AOSliOKIO1G+8b4gZfvtEIIGn+pxDqpfLER6Je8hZ8S i1MfG2GAIWQ+fR8uzIXj1Q== 0001271181-07-000001.txt : 20070125 0001271181-07-000001.hdr.sgml : 20070125 20070125102155 ACCESSION NUMBER: 0001271181-07-000001 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061231 FILED AS OF DATE: 20070125 DATE AS OF CHANGE: 20070125 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MCCANN GARY T CENTRAL INDEX KEY: 0001271181 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11967 FILM NUMBER: 07551516 MAIL ADDRESS: STREET 1: ONE ASTORIA FEDERAL PLAZA CITY: LAKE SUCCESS STATE: NY ZIP: 11042 5 1 primary_doc.xml PRIMARY DOCUMENT X0202 5 2006-12-31 0 0 0 0000910322 ASTORIA FINANCIAL CORP AF 0001271181 MCCANN GARY T ONE ASTORIA FEDERAL PLAZA LAKE SUCCESS NY 11042 0 1 0 0 Executive Vice President Common Stock 31518 D Common Stock 30492.99 I ESOP Common Stock 9000 I RSA Common Stock 19600 I RSA Non-Statutory Stock Option 19.375 1998-08-19 2007-12-16 Common Stock 5160 5160 D Non-Statutory Stock Option 15.0209 2002-01-10 2008-12-15 Common Stock 15843 15843 D Incentive Stock Option 9.9583 2003-01-10 2009-12-14 Common Stock 10041 10041 D Non-Statutory Stock Option 9.9583 2003-01-10 2009-12-14 Common Stock 31959 31959 D 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 35964 35964 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 30960 30960 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 43945.5 43945.5 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 52152 52152 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 86245.5 86245.5 D Non-Statutory Stock Option 29.02 2009-01-09 2012-12-20 Common Stock 84000 84000 D Represents shares allocated to Mr. McCann's account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan ("ESOP") as of December 31, 2006 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, 2009 or earlier upon the death, disability or retirement at normal retirement age, on a change of control, or, in the case of the executive officers, pursuant to the terms of their respective employment agreements with the Company, upon the termination of their 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 the executive officers, pursuant to the terms of their respective employment agreements with the Company, upon the termination of their 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. Gary T. McCann 2007-01-25 -----END PRIVACY-ENHANCED MESSAGE-----