SEC Form 4 · accession 0001562180-17-000612
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 10, 2017 | S | 3,000 | $18.5823 | D | 9,028 | D | |
| Common StockF2 | holding | — | — | — | 2,391 | I | RSA | |
| Common StockF3 | holding | — | — | — | 531 | I | RSA | |
| Common StockF4 | holding | — | — | — | 2,988 | I | RSA | |
| Common StockF5 | holding | — | — | — | 664 | I | RSA | |
| Common StockF6 | holding | — | — | — | 3,577 | I | RSA | |
| Common StockF7 | holding | — | — | — | 795 | I | RSA |
Table II — derivative securities
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $18.5301 to $18.65. 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.
- F2Represents award of restricted stock dated January 30, 2017 pursuant to the Astoria Financial Corporation 2007 Non-Employee Director Stock Plan, or the 2007 Plan. The restricted stock will vest on January 30, 2020 or, if earlier, upon the death, Disability, Mandatory Retirement, Change in Control or Involuntary Termination, all as specified in the 2007 Plan.
- F3Represents discretionary grant on January 30, 2017 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 30, 2020 or earlier upon the death, disability or Mandatory Retirement, on a Change in Control, or Involuntary Termination, all as specified in the 2007 Plan.
- F4Represents award of restricted stock dated February 1, 2016 pursuant to the Astoria Financial Corporation 2007 Non-Employee Director Stock Plan, or the 2007 Plan. The restricted stock will vest on February 1, 2019 or, if earlier, upon the death, Disability, Mandatory Retirement, Change in Control or Involuntary Termination, all as specified in the 2007 Plan.
- F5Represents discretionary grant on February 1, 2016 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 1, 2019 or earlier upon the death, disability or Mandatory Retirement, on a Change in Control, or Involuntary Termination, all as specified in the 2007 Plan.
- F6Represents award of restricted stock dated February 2, 2015 pursuant to the Astoria Financial Corporation 2007 Non-Employee Director Stock Plan, or the 2007 Plan. The restricted stock will vest on February 2, 2018 or, if earlier, upon the death, Disability, Mandatory Retirement, Change in Control or Involuntary Termination, all as specified in the 2007 Plan.
- F7Represents discretionary grant on February 2, 2015 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 2, 2018 or earlier upon the death, disability or Mandatory Retirement, on a Change in Control, or Involuntary Termination, all as specified in the 2007 Plan.
Remarks
POWER OF ATTORNEY I hereby authorize and designate Monte N. Redman, Alan P. Eggleston, David J. DeBaun, Michele M. Weber, Theodore S. Ayvas, Frank E. Fusco, Yvonne Schade, Javier Evans, and Deborah J. Dusel, 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 not be affected by my subsequent disability or incompetence. Date: August 24, 2016 Patricia M. Nazemetz