-----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, UfHYv3TD4wO7MChCrRSGcOcb/FubKH3g6KGiwU6zXksDLZNsBGGidn6lyoS8Zi+E lU5NeBaNwZ/Rcjk3WouZew== 0001410082-07-000001.txt : 20070822 0001410082-07-000001.hdr.sgml : 20070822 20070822123637 ACCESSION NUMBER: 0001410082-07-000001 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070815 FILED AS OF DATE: 20070822 DATE AS OF CHANGE: 20070822 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: Fusco Frank E CENTRAL INDEX KEY: 0001410082 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11967 FILM NUMBER: 071072588 BUSINESS ADDRESS: BUSINESS PHONE: 5163273000 MAIL ADDRESS: STREET 1: ONE ASTORIA FEDERAL PLAZA CITY: LAKE SUCCESS STATE: NY ZIP: 11042 3 1 primary_doc.xml PRIMARY DOCUMENT X0202 3 2007-08-15 0 0000910322 ASTORIA FINANCIAL CORP AF 0001410082 Fusco Frank E ONE ASTORIA FEDERAL PLAZA LAKE SUCCESS NY 11042 0 1 0 0 Exec VP, Treasurer & CFO Common Stock 22586 D Common Stock 1200 I Spouse Common Stock 34220.32 I ESOP Common Stock 6250 I RSA Common Stock 9800 I RSA Non-Statutory Stock Option 9.9583 2003-01-10 2009-12-14 Common Stock 32759 D Non-Statutory Stock Option 16.5625 2004-01-10 2010-12-19 Common Stock 47664 D Incentive Stock Option 16.8333 2005-01-10 2011-12-18 Common Stock 5940 D Non-Statutory Stock Option 16.8333 2005-01-10 2011-12-18 Common Stock 41610 D Incentive Stock Option 18 2006-01-10 2012-12-17 Common Stock 5554.5 D Non-Statutory Stock Option 18 2006-01-10 2012-12-17 Common Stock 57445.5 D Non-Statutory Stock Option 24.4 2005-12-22 2013-12-16 Common Stock 4098 D Non-Statutory Stock Option 24.4 2005-12-22 2013-12-16 Common Stock 42702 D Non-Statutory Stock Option 26.6267 2005-12-22 2014-12-14 Common Stock 3754.5 D Non-Statutory Stock Option 26.6267 2005-12-22 2014-12-14 Common Stock 57145.5 D Non-Statutory Stock Option 29.02 2009-01-09 2012-12-20 Common Stock 37500 D Shares are held by Mr. Fusco's spouse. Represents shares allocated to Mr. Fusco's account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan ("ESOP") as of June 30, 2007 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 the 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 the 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. Frank E. Fusco 2007-08-22 -----END PRIVACY-ENHANCED MESSAGE-----