4//SEC Filing
ASTORIA FINANCIAL CORP 4
Accession 0001144204-13-055999
CIK 0000910322operating
Filed
Oct 20, 8:00 PM ET
Accepted
Oct 21, 1:54 PM ET
Size
15.2 KB
Accession
0001144204-13-055999
Insider Transaction Report
Form 4
HAEFFNER PETER C JR
Director
Transactions
- Sale
Common Stock
2013-10-21$13.60/sh−2,500$34,006→ 4,500 total
Holdings
- 6,000
Non-Statutory Stock Option
Exercise: $24.17From: 2004-01-15Exp: 2014-01-14→ Common Stock (6,000 underlying) - 3,160(indirect: RSA)
Common Stock
- 1,031(indirect: RSA)
Common Stock
- 6,000
Non-Statutory Stock Option
Exercise: $29.79From: 2006-01-17Exp: 2016-01-16→ Common Stock (6,000 underlying) - 6,000
Non-Statutory Stock Option
Exercise: $29.72From: 2007-01-16Exp: 2017-01-15→ Common Stock (6,000 underlying) - 4,639(indirect: RSA)
Common Stock
- 6,000
Non-Statutory Stock Option
Exercise: $26.23From: 2005-01-18Exp: 2015-01-17→ Common Stock (6,000 underlying)
Footnotes (5)
- [F1]Represents award of restricted stock dated January 31, 2011 pursuant to the Astoria Financial Corporation 2007 Non-Employee Director Stock Plan, or the 2007 Plan. The restricted stock will vest on January 31, 2014 or, if earlier, upon the death, Disability, Mandatory Retirement, Change in Control or Involuntary Termination, all as specified in the 2007 Plan.
- [F2]Represents award of restricted stock dated January 28, 2013 pursuant to the Astoria Financial Corporation 2007 Non-Employee Director Stock Plan, or the 2007 Plan. The restricted stock will vest on January 28, 2016 or, if earlier, upon the death, Disability, Mandatory Retirement, Change in Control or Involuntary Termination, all as specified in the 2007 Plan.
- [F3]Represents discretionary grant on January 28, 2013 of restricted stock pursuant to the Astoria Financial Corporation 2007 Non-Employee Director Stock Plan, or the 2007 Plan. The restricted stock will vest and be distributed effective January 28, 2016 or earlier upon the death, disability or Mandatory Retirement, on a Change in Control, or Involuntary Termination, all as specified in the 2007 Plan.
- [F4]Options were granted pursuant to the 1999 Stock Option Plan for Outside Directors of Astoria Financial Corporation, or the 1999 Plan.
- [F5]This transaction was executed in multiple trades at prices ranging from $13.5917 to $13.6200. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Documents
Issuer
ASTORIA FINANCIAL CORP
CIK 0000910322
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0000910322
Filing Metadata
- Form type
- 4
- Filed
- Oct 20, 8:00 PM ET
- Accepted
- Oct 21, 1:54 PM ET
- Size
- 15.2 KB