ENGELKE GEORGE L JR 4

4 · ASTORIA FINANCIAL CORP · Filed Dec 20, 2012

Form 4Exit

Period: 2012-12-20

Other

Transactions

Other
Non-Statutory Stock Option
[F5][F6]
2012-12-20−345,000→ 0 total
Exercise: $29.02From: 2009-01-09Exp: 2012-12-20→ Common Stock (345,000 underlying)

Holdings

Common Stock
[F1]
(indirect: By Spouse)
6,000
Common Stock
[F2]
(indirect: ESOP)
51,899.95
Common Stock
[F3]
(indirect: By 401(k))
40,557.74
Common Stock
1,393,657
Non-Statutory Stock Option
[F4]
Exercise: $24.40From: 2005-12-22Exp: 2013-03-18→ Common Stock (4,098 underlying)
4,098
Non-Statutory Stock Option
[F4]
Exercise: $24.40From: 2005-12-22Exp: 2013-03-18→ Common Stock (310,902 underlying)
310,902
Non-Statutory Stock Option
[F4]
Exercise: $26.63From: 2005-12-22Exp: 2013-03-18→ Common Stock (3,754 underlying)
3,754
Non-Statutory Stock Option
[F4]
Exercise: $26.63From: 2005-12-22Exp: 2013-03-18→ Common Stock (393,746 underlying)
393,746

Footnotes (6)

[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 2003 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 2003 Plan.
[F5]Options were granted pursuant to the 2005 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 2005 Plan.
[F6]Options expired by their own terms without exercising.

Signature

George L. Engelke, Jr., by Peter J. Cunningham, attorney-in-fact|2012-12-20

Documents

2 files