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