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4//SEC Filing

MCCANN GARY T 4

Accession 0001144204-12-001911

CIK 0000910322other
View on SEC.govCompany Profile

Filed

Jan 10, 7:00 PM ET

Accepted

Jan 11, 5:26 PM ET

Size

42.9 KB

Accession

0001144204-12-001911

Insider Transaction Report

Form 4
Period: 2012-01-09
ASTORIA FINANCIAL CORPAF
MCCANN GARY T
Executive Vice President
Transactions
  • Tax Payment

    Common Stock

    2012-01-10$9.30/sh−100$930→ 0 total
  • Tax Payment

    Common Stock

    2012-01-10$9.30/sh−1,400$13,027→ 0 total
  • Other

    Common Stock

    2012-01-09$9.19/sh+12,200$112,088→ 64,968 total
  • Other

    Common Stock

    2012-01-09−19,600→ 0 total(indirect: RSA Vest)
  • Tax Payment

    Common Stock

    2012-01-10$9.27/sh−100$927→ 0 total
  • Tax Payment

    Common Stock

    2012-01-10$9.29/sh−654$6,072→ 0 total
  • Tax Payment

    Common Stock

    2012-01-10$9.30/sh−2,700$25,110→ 0 total
  • Tax Payment

    Common Stock

    2012-01-10$9.28/sh−739$6,854→ 0 total
  • Tax Payment

    Common Stock

    2012-01-10$9.28/sh−407$3,777→ 0 total
  • Tax Payment

    Common Stock

    2012-01-10$9.29/sh−500$4,648→ 0 total
  • Tax Payment

    Common Stock

    2012-01-10$9.30/sh−100$930→ 0 total
  • Tax Payment

    Common Stock

    2012-01-10$9.38/sh−400$3,752→ 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$9.30/sh−100$930→ 0 total
Holdings

  • Common Stock

    (indirect: RSA)
    36,632

  • Common Stock

    (indirect: RSA)
    37,260

  • Common Stock

    (indirect: RSA)
    34,608

  • Non-Statutory Stock Option

    Exercise: $26.63From: 2005-12-22Exp: 2014-12-14→ Common Stock (3,754 underlying)
    3,754

  • Common Stock

    (indirect: RSA)
    29,300

  • Common Stock

    (indirect: By 401(k))
    1,597.64

  • Non-Statutory Stock Option

    Exercise: $18.00From: 2006-01-10Exp: 2012-12-17→ Common Stock (43,946 underlying)
    43,946

  • Non-Statutory Stock Option

    Exercise: $26.63From: 2005-12-22Exp: 2014-12-14→ Common Stock (86,246 underlying)
    86,246

  • Common Stock

    (indirect: ESOP)
    41,400.03

  • Non-Statutory Stock Option

    Exercise: $24.40From: 2005-12-22Exp: 2013-12-16→ Common Stock (52,152 underlying)
    52,152

  • Non-Statutory Stock Option

    Exercise: $29.02From: 2009-01-09Exp: 2012-12-20→ Common Stock (84,000 underlying)
    84,000

  • Incentive Stock Option

    Exercise: $18.00From: 2006-01-10Exp: 2012-12-17→ Common Stock (5,554 underlying)
    5,554

  • Non-Statutory Stock Option

    Exercise: $24.40From: 2005-12-22Exp: 2013-12-16→ Common Stock (4,098 underlying)
    4,098
Footnotes (12)
  • [F1]Represents shares allocated to Mr. McCann'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.
  • [F10]Options were granted pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation, or the 2005 Plan.
  • [F11]In accordance with a Rule 10b5-1 Sales Plan, shares were sold for taxes at vest.
  • [F12]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 held in the Employer Stock Fund of the Astoria Incentive Savings plan ("401(k) Plan") for the account of Mr. McCann as of December 31, 2011. Shares are held in the 401(k) Plan Trust.
  • [F3]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.
  • [F4]Represents award of restricted stock dated January 28, 2008 pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2005 Plan). The restricted stock will vest on January 28, 2013 or, if earlier, upon the death, Disability or Change of 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 the employment by the Company or the Association prior to the end of the term of such employment agreements without Cause, as defined therein.
  • [F5]Represents award of restricted stock dated February 2, 2009 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: 18,316 shares on December 17, 2012 and 18,316 shares on December 16, 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.
  • [F6]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: 12,420 shares on December 14, 2012, 12,420 shares on December 16, 2013 and 12,420 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 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]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: 8,652 shares on December 14, 2012, 8,652 shares on December 16, 2013, 8,652 shares on December 15, 2014, and 8,652 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 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.
  • [F8]Options were granted pursuant to the 1999 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1999 Plan.
  • [F9]Options were granted pursuant to the 2003 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 2003 Plan.

Documents

1 file

Issuer

ASTORIA FINANCIAL CORP

CIK 0000910322

→
Entity typeother

Related Parties

1
  • filerCIK 0001271181

Filing Metadata

Form type
4
Filed
Jan 10, 7:00 PM ET
Accepted
Jan 11, 5:26 PM ET
Size
42.9 KB
View on SEC.gov