ENGELKE GEORGE L JR 4

4 · ASTORIA FINANCIAL CORP · Filed Dec 17, 2012

Form 4

Period: 2012-12-17

DirectorChairman & CEO

Transactions

Other
Incentive Stock Option
2012-12-17−5,554→ 0 total
Exercise: $18.00From: 2006-01-10Exp: 2012-12-17→ Common Stock (5,554 underlying)
Other
Non-Statutory Stock Option
2012-12-17−399,446→ 0 total
Exercise: $18.00From: 2006-01-10Exp: 2012-12-17→ Common Stock (399,446 underlying)

Holdings

Common Stock
(indirect: ESOP)
51,899.95
Non-Statutory Stock Option
Exercise: $24.40From: 2005-12-22Exp: 2013-03-18→ Common Stock (4,098 underlying)
4,098
Common Stock
1,393,657
Non-Statutory Stock Option
Exercise: $26.63From: 2005-12-22Exp: 2013-03-18→ Common Stock (3,754 underlying)
3,754
Non-Statutory Stock Option
Exercise: $24.40From: 2005-12-22Exp: 2013-03-18→ Common Stock (310,902 underlying)
310,902
Non-Statutory Stock Option
Exercise: $26.63From: 2005-12-22Exp: 2013-03-18→ Common Stock (393,746 underlying)
393,746
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))
40,557.74

Footnotes (7)

[F1]Shares are held by Mr. Engelke Jr.'s spouse.
[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 September 30, 2012 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 September 30, 2012. Shares are held in the 401(k) Plan Trust.
[F4]Options were granted pursuant to the 1999 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1999 Plan.
[F5]Options were granted pursuant to the 2003 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 2003 Plan.
[F6]Options were granted pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation, or the 2005 Plan.
[F7]Options expired by their own terms without exercising.

Documents

2 files