SEC Form 4 · accession 0001562180-15-000037
ASTORIA FINANCIAL CORP · AF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 4,639 | I | RSA | |
| Common StockF2 | holding | — | — | — | 1,031 | I | RSA | |
| Common StockF3 | holding | — | — | — | 3,565 | I | RSA | |
| Common StockF4 | holding | — | — | — | 793 | I | RSA | |
| Common StockF5 | holding | — | — | — | 64,920 | I | Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Statutory Stock OptionF6,F7 | $26.2333 | Jan 17, 2015 | J | 6,000 | D | Jan 18, 2005 | Jan 17, 2015 | Common Stock | 6,000 | 0 | D |
| Non-Statutory Stock OptionF6 | $29.79 | holding | — | — | — | Jan 17, 2006 | Jan 16, 2016 | Common Stock | 6,000 | 6,000 | D |
| Non-Statutory Stock OptionF6 | $29.72 | holding | — | — | — | Jan 16, 2007 | Jan 15, 2017 | Common Stock | 6,000 | 6,000 | D |
Explanation of responses
- F1Represents award of restricted stock dated January 28, 2013 pursuant to the Astoria Financial Corporation 2007 Non-Employee Director Stock Plan, or the 2007 Plan. The restricted stock will vest on January 28, 2016 or, if earlier, upon the death, Disability, Mandatory Retirement, Change in Control or Involuntary Termination, all as specified in the 2007 Plan.
- F2Represents discretionary grant on January 28, 2013 of restricted stock pursuant to the Astoria Financial Corporation 2007 Non-Employee Director Stock Plan, or the 2007 Plan. The restricted stock will vest and be distributed effective January 28, 2016 or earlier upon the death, disability or Mandatory Retirement, on a Change in Control, or Involuntary Termination, all as specified in the 2007 Plan.
- F3Represents award of restricted stock dated February 3, 2014 pursuant to the Astoria Financial Corporation 2007 Non-Employee Director Stock Plan, or the 2007 Plan. The restricted stock will vest on February 3, 2017 or, if earlier, upon the death, Disability, Mandatory Retirement, Change in Control or Involuntary Termination, all as specified in the 2007 Plan.
- F4Represents discretionary grant on February 3, 2014 of restricted stock pursuant to the Astoria Financial Corporation 2007 Non-Employee Director Stock Plan, or the 2007 Plan. The restricted stock will vest and be distributed effective February 3, 2017 or earlier upon the death, disability or Mandatory Retirement, on a Change in Control, or Involuntary Termination, all as specified in the 2007 Plan.
- F5Represents shares held in a Trust Account.
- F6Options were granted pursuant to the 1999 Stock Option Plan for Outside Directors of Astoria Financial Corporation, or the 1999 Plan.
- F7Options expired by their own terms without exercising.
Remarks
POWER OF ATTORNEY I hereby authorize and designate Monte N. Redman, Alan P. Eggleston, Thomas E. Lavery, Michele M. Weber, Peter J. Cunningham, Frank E. Fusco, Steven G. Miss and Yvonne Schade, or any one of them acting as agent and attorney-in-fact, with full power of substitution, to: (1) prepare and sign on my behalf any Form 3, Form 4 or Form 5 pursuant to Section 16 of the Securities Exchange Act of 1934, as amended, and file the same with the Securities Exchange Commission, NYSE, and each stock exchange on which Astoria Financial Corporation's common stock or other securities are listed, as required by law; (2) prepare and sign on my behalf any Form 144 pursuant to the Securities Act of 1933, as amended, and file the same with the Securities Exchange Commission, NYSE, and each stock exchange on which Astoria Financial Corporation's common stock or other securities are listed, as required by law; and (3) do anything else necessary or proper in connection with the foregoing. This Power of Attorney shall remain in effect as long as I am an affiliate of Astoria Financial Corporation, and shall not be affected by my subsequent disability or incompetence. Date: January 25, 2012