4//SEC Filing
GREENBERG ARNOLD K 4
Accession 0001144204-12-051811
CIK 0000910322other
Filed
Sep 17, 8:00 PM ET
Accepted
Sep 18, 10:09 AM ET
Size
26.0 KB
Accession
0001144204-12-051811
Insider Transaction Report
Form 4
GREENBERG ARNOLD K
Executive Vice President
Transactions
- Other
Common Stock
2012-09-13+51,899.946→ 305,566.236 total - Other
Common Stock
2012-09-13−78,229.166→ 0 total(indirect: By 401(k)) - Other
Common Stock
2012-09-13−51,899.946→ 0 total(indirect: ESOP) - Sale
Common Stock
2012-09-13$10.74/sh−0.946$10→ 305,565.29 total - Other
Common Stock
2012-09-13+78,229.166→ 383,794.456 total - Sale
Common Stock
2012-09-13$10.74/sh−2,282.166$24,518→ 381,512.29 total
Holdings
- 90,402
Non-Statutory Stock Option
Exercise: $24.40From: 2005-12-22Exp: 2013-05-01→ Common Stock (90,402 underlying) - 965.21(indirect: By Spouse)
Common Stock
- 5,554
Incentive Stock Option
Exercise: $18.00From: 2006-01-10Exp: 2012-12-17→ Common Stock (5,554 underlying) - 3,754
Non-Statutory Stock Option
Exercise: $26.63From: 2005-12-22Exp: 2013-05-01→ Common Stock (3,754 underlying) - 128,246
Non-Statutory Stock Option
Exercise: $26.63From: 2005-12-22Exp: 2013-05-01→ Common Stock (128,246 underlying) - 60,000(indirect: By Spouse)
Common Stock
- 124,946
Non-Statutory Stock Option
Exercise: $18.00From: 2006-01-10Exp: 2012-12-17→ Common Stock (124,946 underlying) - 4,098
Non-Statutory Stock Option
Exercise: $24.40From: 2005-12-22Exp: 2013-05-01→ Common Stock (4,098 underlying) - 112,700
Non-Statutory Stock Option
Exercise: $29.02From: 2009-01-09Exp: 2012-12-20→ Common Stock (112,700 underlying)
Footnotes (10)
- [F1]Includes shares acquired pursuant to the Astoria Financial Corporation Automatic Dividend Reinvestment Stock Purchase Plan which are exempt from the operation of Section 16 of the Securities Exchange Act of 1934 and are beneficially owned directly by Mr. Greenberg.
- [F10]Represents an In-kind Distribution from the 401(k) Plan which is a change in ownership from indirect to direct.
- [F2]Includes shares acquired pursuant to the Astoria Financial Corporation Automatic Dividend Reinvestment Stock Purchase Plan which are exempt from the operation of Section 16 of the Securities Exchange Act of 1934 and are held in the Individual Retirement Account of Mr. Greenberg's spouse.
- [F3]Shares are held by Mr. Greenberg's spouse.
- [F4]Represents shares allocated to Mr. Greenberg's account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan ("ESOP") as of 9-13-2012 and held in the ESOP Trust.
- [F5]Represents an In-kind Distribution from ESOP which is a change in ownership from indirect to direct.
- [F6]Options were granted pursuant to the 1999 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1999 Plan.
- [F7]Options were granted pursuant to the 2003 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 2003 Plan.
- [F8]Options were granted pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation, or the 2005 Plan.
- [F9]Represents shares held in the Employer Stock Fund of the Astoria Incentive Savings Plan ("401(k) Plan") for the account of Mr. Greenberg as of 9-13-2012. Shares are held in the 401(k) Plan Trust.
Documents
Issuer
ASTORIA FINANCIAL CORP
CIK 0000910322
Entity typeother
Related Parties
1- filerCIK 0001210863
Filing Metadata
- Form type
- 4
- Filed
- Sep 17, 8:00 PM ET
- Accepted
- Sep 18, 10:09 AM ET
- Size
- 26.0 KB