ASTORIA FINANCIAL CORP 4/A
4/A · ASTORIA FINANCIAL CORP · Filed Oct 16, 2013
Insider Transaction Report
Form 4/AAmended
HONSTEDT GARY M
Executive Vice President
Transactions
- Other
Common Stock
2013-07-10−8,000→ 32,000 total(indirect: RSA Vest) - Tax Payment
Common Stock
2013-07-11$11.41/sh−200$2,283→ 0 total - Tax Payment
Common Stock
2013-07-11$11.43/sh−100$1,143→ 0 total - Tax Payment
Common Stock
2013-07-11$11.42/sh−127$1,450→ 0 total - Tax Payment
Common Stock
2013-07-11$11.41/sh−1,800$20,538→ 0 total - Other
Common Stock
2013-07-01$11.06/sh−4,134.83$45,717→ 0 total(indirect: ESOP) - Tax Payment
Common Stock
2013-07-11$11.42/sh−900$10,278→ 0 total - Other
Common Stock
2013-07-10$11.51/sh+4,673$53,786→ 10,618 total
Holdings
- 5,000(indirect: RSA)
Common Stock
Footnotes (6)
- [F1]Represents shares allocated to Mr. Honstedt's account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan ("ESOP") and held by the ESOP Trust following the forfeiture of 4,134.83 shares upon Mr. Honstedt's resignation as an officer and employee of Astoria Financial Corporation. These forfeited shares were incorrectly reported as being held by Mr. Honstedt on Form 4 filed on 7/12/2013.
- [F2]Represents award of restricted stock dated February 16, 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: 5,000 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.
- [F3]Represents award of restricted stock dated July 11, 2012 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: 12,000 shares on July 10, 2014, and 20,000 shares on July 10, 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.
- [F4]Represents 20% 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 07/10/2013. The transaction represents a change in the form of beneficial ownership from indirect to direct.
- [F5]In accordance with a rule 10b5-1 Sales Plan, shares were sold for taxes at vest.
- [F6]Represents value of restricted stock at time of vesting and is the value of services rendered by the Reporting Person to the Issuer.