-----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, Txn3Oj9FhhL94DVu2bK9ZGR3kJ5XsTOxsy9fIV6pppRIOyxTiJJdzL5nuFCSKjEp UeN5uNJh4CJNs2QegClJAQ== 0001410082-10-000003.txt : 20101216 0001410082-10-000003.hdr.sgml : 20101216 20101216095429 ACCESSION NUMBER: 0001410082-10-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101215 FILED AS OF DATE: 20101216 DATE AS OF CHANGE: 20101216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fusco Frank E CENTRAL INDEX KEY: 0001410082 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11967 FILM NUMBER: 101255183 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 2010-12-15 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 2010-12-15 4 J 0 16972 0 D 50916 I RSA Vest Common Stock 2010-12-15 4 J 0 16972 13.34 A 106659 D Common Stock 1200 I Spouse Common Stock 41070.27 I ESOP Common Stock 9800 I RSA Common Stock 22400 I RSA Common Stock 46200 I RSA Non-Statutory Stock Option 16.5625 2004-01-10 2010-12-19 Common Stock 47664 47664 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 41610 41610 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 57446 57446 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 42702 42702 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 57146 57146 D Non-Statutory Stock Option 29.02 2009-01-09 2012-12-20 Common Stock 37500 37500 D Represents 20% 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 12/15/10. The transaction represents a change in the form of beneficial ownership from indirect to direct. 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: 16,972 shares on December 15, 2011, 16,972 shares on December 17, 2012 and 16,972 shares on December 16, 2013 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 value of restricted stock at time of vesting and is the value of services rendered by the Reporting Person to the Issuer. 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 September 30, 2010 and held in the ESOP 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 restricted stock will vest on January 28, 2013 or, if earlier, upon the death, Disability 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 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: 11,550 shares on December 14, 2011, 11,550 shares on December 14, 2012, 11,550 shares on December 16, 2013 and 11,550 shares on December 15, 2014 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. Frank E. Fusco 2010-12-16 -----END PRIVACY-ENHANCED MESSAGE-----