ENGELKE GEORGE L JR 4

Accession 0001144204-12-001852

CIK 0000910322other

View on SEC.gov Company Profile

Filed

Jan 10, 7:00 PM ET

Accepted

Jan 11, 3:54 PM ET

Size

49.4 KB

Accession

0001144204-12-001852

Insider Transaction Report

Form 4

Period: 2012-01-09

ASTORIA FINANCIAL CORPAF

ENGELKE GEORGE L JR

DirectorChairman & CEO

Transactions

Tax Payment
Common Stock
2012-01-10$9.29/sh−1,200$11,154→ 0 total
Tax Payment
Common Stock
2012-01-10$9.30/sh−4,200$39,060→ 0 total
Tax Payment
Common Stock
2012-01-10$9.30/sh−100$930→ 0 total
Tax Payment
Common Stock
2012-01-10$9.31/sh−800$7,448→ 0 total
Tax Payment
Common Stock
2012-01-10$9.32/sh−1,230$11,464→ 0 total
Tax Payment
Common Stock
2012-01-10$9.30/sh−400$3,720→ 0 total
Tax Payment
Common Stock
2012-01-10$9.30/sh−1,500$13,958→ 0 total
Other
Common Stock
2012-01-09$9.19/sh+27,169$249,615→ 1,393,657 total
Other
Common Stock
2012-01-09−42,800→ 0 total(indirect: RSA Vest)
Tax Payment
Common Stock
2012-01-10$9.27/sh−1,200$11,124→ 0 total
Tax Payment
Common Stock
2012-01-10$9.27/sh−100$927→ 0 total
Tax Payment
Common Stock
2012-01-10$9.29/sh−100$929→ 0 total
Tax Payment
Common Stock
2012-01-10$9.32/sh−200$1,864→ 0 total
Tax Payment
Common Stock
2012-01-10$9.28/sh−400$3,710→ 0 total
Tax Payment
Common Stock
2012-01-10$9.44/sh−1$9→ 0 total
Tax Payment
Common Stock
2012-01-10$9.28/sh−2,200$20,416→ 0 total
Tax Payment
Common Stock
2012-01-10$9.30/sh−200$1,860→ 0 total
Tax Payment
Common Stock
2012-01-10$9.30/sh−100$930→ 0 total
Tax Payment
Common Stock
2012-01-10$9.29/sh−900$8,357→ 0 total
Tax Payment
Common Stock
2012-01-10$9.29/sh−500$4,645→ 0 total
Tax Payment
Common Stock
2012-01-10$9.30/sh−300$2,790→ 0 total

Holdings

Common Stock
(indirect: ESOP)
47,040.22
Incentive Stock Option
Exercise: $18.00From: 2006-01-10Exp: 2012-12-17→ Common Stock (5,554 underlying)
5,554
Non-Statutory Stock Option
Exercise: $26.63From: 2005-12-22Exp: 2014-12-14→ Common Stock (3,754 underlying)
3,754
Non-Statutory Stock Option
Exercise: $18.00From: 2006-01-10Exp: 2012-12-17→ Common Stock (399,446 underlying)
399,446
Non-Statutory Stock Option
Exercise: $24.40From: 2005-12-22Exp: 2013-12-16→ Common Stock (310,902 underlying)
310,902
Non-Statutory Stock Option
Exercise: $26.63From: 2005-12-22Exp: 2014-12-14→ Common Stock (393,746 underlying)
393,746
Common Stock
(indirect: RSA)
36,290
Common Stock
(indirect: By Spouse)
6,000
Non-Statutory Stock Option
Exercise: $29.02From: 2009-01-09Exp: 2012-12-20→ Common Stock (345,000 underlying)
345,000
Common Stock
(indirect: By 401(k))
39,664.09
Common Stock
(indirect: RSA)
9,940
Non-Statutory Stock Option
Exercise: $24.40From: 2005-12-22Exp: 2013-12-16→ Common Stock (4,098 underlying)
4,098

Footnotes (11)

[F1]Shares are held by Mr. Engelke Jr.'s spouse.
[F10]In accordance with a Rule 10b5-1 Sales Plan, shares were sold for taxes at vest.
[F11]Represents value of restricted stock at time of vesting and is the value of services rendered by the Reporting Person to the Issuer.
[F2]Represents shares allocated to Mr. Engelke Jr.'s account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan ("ESOP") as of December 31, 2011 and held in the ESOP Trust.
[F3]Represents shares held in the Employer Stock Fund of the Astoria Incentive Savings Plan ("401(k) Plan") for the account of Mr. Engelke, Jr. as of December 31, 2011. Shares are held in the 401(k) Plan Trust.
[F4]Represents 100% vesting of a previous award of restricted stock pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation, or the 2005 Plan. The restricted stock vested and was distributed on 1/9/2012. The transaction represents a change in the form of beneficial ownership from indirect to direct.
[F5]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: 36,290 shares on December 14, 2012 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 Federal Savings and Loan Association (the Association), upon his termination of employment by the Company or the Association prior to the end of the term of such employment agreements without Cause, as defined therein.
[F6]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: 4,970 shares on December 14, 2012 and 4,970 shares on November 15, 2013 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 Federal Savings and Loan Association (the Association), upon his termination of employment by the Company or the Association prior to the end of the term of such employment agreements without Cause, as defined therein.
[F7]Options were granted pursuant to the 1999 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1999 Plan.
[F8]Options were granted pursuant to the 2003 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 2003 Plan.
[F9]Options were granted pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation, or the 2005 Plan.

Documents

1 file

4
form447231_20120111035337-.xmlPrimary

Issuer

ASTORIA FINANCIAL CORP

CIK 0000910322

→

Entity typeother

Related Parties

filerCIK 0001210749

Filing Metadata

Form type: 4
Filed: Jan 10, 7:00 PM ET
Accepted: Jan 11, 3:54 PM ET
Size: 49.4 KB

View on SEC.gov