SEC Form 4 · accession 0001562180-15-000079
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 | Feb 13, 2015 | J | 12,500 | $0.00 | D | 0 | I | RSA |
| Common StockF2 | Feb 13, 2015 | J | 2,370 | $0.00 | D | 0 | I | RSA |
| Common StockF3 | Feb 13, 2015 | J | 8,420 | $0.00 | D | 0 | I | RSA |
| Common StockF4 | holding | — | — | — | 7,342 | I | 401(k) |
Table II — derivative securities
Explanation of responses
- F1Represents cancellation of restricted stock awarded July 11, 2012 pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2005 Plan). The cancellation was in accordance with the terms and conditions of the 2007 Plan, and resulted from Mr. Gutauskas' voluntary termination from Astoria Financial Corporation.
- F2Represents cancellation of restricted stock awarded January 28, 2013 pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2005 Plan). The cancellation was in accordance with the terms and conditions of the 2007 Plan, and resulted from Mr. Gutauskas' voluntary termination from Astoria Financial Corporation.
- F3Represents cancellation of restricted stock awarded February 3, 2014 pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2005 Plan). The cancellation was in accordance with the terms and conditions of the 2007 Plan, and resulted from Mr. Gutauskas' voluntary termination from Astoria Financial Corporation.
- F4Represents shares held in the Employer Stock Fund of the Astoria Bank 401(k) Plan for the account of Mr. Gutauskas as of December 31, 2014. Shares are held in the 401(k) Plan Trust.
Remarks
POWER OF ATTORNEY I hereby authorize and designate Monte N. Redman, Alan P. Eggleston, Thomas E. Lavery, Michele M. Weber, Theodore S. Ayvas, Frank E. Fusco, and Yvonne Schade, or any one of them acting as agent and attorney-in-fact, with the full power of the 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: December 23, 2013 Matthew J. Gutauskas