-----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, UScKgcLb4YoYWPVxBtjhNWzBeiAr1jCAc+BvnqSmxQzGuwNlbttljOR2k0NCm/U+ o6m/zRv84vDj5A/HNc4h3g== 0001271181-09-000001.txt : 20090105 0001271181-09-000001.hdr.sgml : 20090105 20090105094214 ACCESSION NUMBER: 0001271181-09-000001 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090105 DATE AS OF CHANGE: 20090105 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 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: 09502605 MAIL ADDRESS: STREET 1: ONE ASTORIA FEDERAL PLAZA CITY: LAKE SUCCESS STATE: NY ZIP: 11042 5 1 primary_doc.xml PRIMARY DOCUMENT X0303 5 2008-12-31 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 27634 D Common Stock 33146.1 I ESOP Common Stock 1287.53 I 401(k) Common Stock 9000 I RSA Common Stock 19600 I RSA Common Stock 29300 I RSA 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 5554 D Non-Statutory Stock Option 18 2006-01-10 2012-12-17 Common Stock 43946 43946 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 3754 D Non-Statutory Stock Option 26.6267 2005-12-22 2014-12-14 Common Stock 86246 86246 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, 2008 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. McCann as of December 31, 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 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. 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. Gary T. McCann 2009-01-05 -----END PRIVACY-ENHANCED MESSAGE-----