0001562180-14-000022.txt : 20141121 0001562180-14-000022.hdr.sgml : 20141121 20141121170058 ACCESSION NUMBER: 0001562180-14-000022 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141120 FILED AS OF DATE: 20141121 DATE AS OF CHANGE: 20141121 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 BANK PLAZA CITY: LAKE SUCCESS STATE: NY ZIP: 11042-1085 BUSINESS PHONE: 5163273000 MAIL ADDRESS: STREET 1: ONE ASTORIA BANK PLAZA CITY: LAKE SUCCESS STATE: NY ZIP: 11042-1085 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DeStefano Robert J CENTRAL INDEX KEY: 0001538912 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11967 FILM NUMBER: 141243669 MAIL ADDRESS: STREET 1: ONE ASTORIA FEDERAL PLAZA CITY: LAKE SUCCESS STATE: NY ZIP: 11042 4 1 primarydocument.xml PRIMARY DOCUMENT X0306 4 2014-11-20 false 0000910322 ASTORIA FINANCIAL CORP AF 0001538912 DeStefano Robert J ONE ASTORIA BANK PLAZA LAKE SUCCESS NY US 11042 false true false false Executive Vice President Common Stock 2014-11-20 4 S false 30984 13.0928 D 46722.65 D Common Stock 52696.46 I 401(k) Common Stock 2870 I RSA Common Stock 3856 I RSA Common Stock 7940 I RSA Common Stock 9390 I RSA 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 40346 40346 D This transaction was executed in multiple trades at prices ranging from $13.0748 to $13.1250. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Represents shares held in the Employer Stock Fund of the Astoria Incentive Savings Plan ("401(k) Plan") for the account of Mr. DeStefano as of September 30, 2014. Shares are held in the 401(k) Plan Trust. 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: 2,870 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 Bank (the Bank), upon his termination of employment by the Company or the Bank prior to the end of the term of such employment agreements without Cause, as defined therein Represents award of restricted stock dated January 31, 2011 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: 1,928 shares on December 15, 2014, and 1,928 shares on December 14, 2015 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 Bank (the Bank), upon his termination of employment by the Company or the Bank prior to the end of the term of such employment agreements without Cause, as defined therein. Represents award of restricted stock dated January 28, 2013 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: 3,970 shares on December 15, 2014, and 3,970 shares on December 14, 2015 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 Bank (the Bank)upon his termination of employment by the Company or the Bank prior to the end of the term of such employment agreements without Cause, as defined therein. Represents award of restricted stock dated February 3, 2014 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: 3,130 shares on December 15, 2014, 3,130 shares on December 14, 2015, and 3,130 shares on December 14, 2016 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 Bank (the Bank), upon his termination of employment by the Company or the Bank prior to the end of the term of such employment agreements without Cause, as defined therein. Options were granted pursuant to the 2003 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 2003 Plan. Robert J. DeStefano by Yvonne Schade, attorney-in-fact 2014-11-21