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4/A//SEC Filing

DRENNAN THOMAS W 4/A

Accession 0001210747-03-000004

CIK 0000910322other
View on SEC.govCompany Profile

Filed

Nov 12, 7:00 PM ET

Accepted

Nov 13, 10:51 AM ET

Size

62.0 KB

Accession

0001210747-03-000004

Insider Transaction Report

Form 4/AAmended
Period: 2003-11-06
ASTORIA FINANCIAL CORPAF
DRENNAN THOMAS W
Former Exec,Retired 11/30/2003
Transactions
  • Sale

    Common Stock

    2003-11-07$35.60/sh−3,100$110,360→ 49,209.28 total
  • Sale

    Common Stock

    2003-11-07$35.61/sh−100$3,561→ 49,109.28 total
  • Sale

    Common Stock

    2003-11-07$35.45/sh−5,613$198,981→ 59,409.28 total
  • Exercise/Conversion

    Common Stock

    2003-11-06$22.53/sh+43,562$981,504→ 107,017.28 total
  • Sale

    Common Stock

    2003-11-07$35.41/sh−1,500$53,115→ 67,022.28 total
  • Sale

    Common Stock

    2003-11-07$35.42/sh−700$24,794→ 66,322.28 total
  • Sale

    Common Stock

    2003-11-06$34.57/sh−4,000$138,280→ 96,017.28 total
  • Tax Payment

    Common Stock

    2003-11-06$34.60/sh−10,395$359,624→ 76,622.28 total
  • Sale

    Common Stock

    2003-11-06$34.60/sh−4,400$152,240→ 102,617.28 total
  • Sale

    Common Stock

    2003-11-07$35.46/sh−600$21,276→ 58,809.28 total
  • Sale

    Common Stock

    2003-11-07$35.40/sh−4,200$148,680→ 68,522.28 total
  • Sale

    Common Stock

    2003-11-07$35.47/sh−4,000$141,880→ 54,809.28 total
  • Exercise/Conversion

    Non-Statutory Stock Option

    2003-11-06$18.00/sh−14,446$260,028→ 5,554 total
    Exercise: $18.00From: 1998-08-19Exp: 2006-12-17→ Common Stock (14,446 underlying)
  • Sale

    Common Stock

    2003-11-06$34.62/sh−600$20,772→ 102,017.28 total
  • Sale

    Common Stock

    2003-11-06$34.59/sh−2,000$69,180→ 100,017.28 total
  • Sale

    Common Stock

    2003-11-06$34.54/sh−1,000$34,540→ 89,017.28 total
  • Sale

    Common Stock

    2003-11-07$35.35/sh−1,900$67,165→ 72,722.28 total
  • Sale

    Common Stock

    2003-11-07$35.43/sh−400$14,172→ 65,922.28 total
  • Sale

    Common Stock

    2003-11-07$35.44/sh−900$31,896→ 65,022.28 total
  • Sale

    Common Stock

    2003-11-07$35.33/sh−2,000$70,660→ 74,622.28 total
  • Sale

    Common Stock

    2003-11-07$35.50/sh−1,000$35,500→ 53,809.28 total
  • Exercise/Conversion

    Common Stock

    2003-11-06$18.00/sh+14,446$260,028→ 63,455.28 total
  • Exercise/Conversion

    Non-Statutory Stock Option

    2003-11-06$22.53/sh−43,562$981,504→ 0 total
    Exercise: $22.53From: 2000-01-10Exp: 2008-12-15→ Common Stock (43,562 underlying)
Holdings

  • Non-Statutory Stock Option

    Exercise: $25.25From: 2005-01-10Exp: 2011-12-18→ Common Stock (67,040 underlying)
    67,040

  • Incentive Stock Option

    Exercise: $27.00From: 2006-01-10Exp: 2012-12-17→ Common Stock (3,703 underlying)
    3,703

  • Non-Statutory Stock Option

    Exercise: $14.94From: 2003-01-10Exp: 2009-12-14→ Common Stock (53,306 underlying)
    53,306

  • Common Stock

    (indirect: By 401(k))
    44,225.63

  • Non-Statutory Stock Option

    Exercise: $29.06From: 1998-08-19Exp: 2007-12-16→ Common Stock (35,000 underlying)
    35,000

  • Incentive Stock Option

    Exercise: $24.84From: 2004-01-10Exp: 2010-12-19→ Common Stock (4,024 underlying)
    4,024

  • Incentive Stock Option

    Exercise: $25.25From: 2005-01-10Exp: 2011-12-18→ Common Stock (3,960 underlying)
    3,960

  • Common Stock

    18,177.61

  • Common Stock

    (indirect: By Spouse)
    42,743.22

  • Non-Statutory Stock Option

    Exercise: $24.84From: 2004-01-10Exp: 2010-12-19→ Common Stock (75,976 underlying)
    75,976

  • Non-Statutory Stock Option

    Exercise: $27.00From: 2006-01-10Exp: 2012-12-17→ Common Stock (89,297 underlying)
    89,297
Footnotes (9)
  • [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. Drennan.
  • [F2]Shares are held in Mr. Drennan's IRA account.
  • [F3]40,000 shares are held by Mr. Drennan's spouse and 2,743.22 shares are held in Mr. Drennan's spouses' IRA.
  • [F4]21,571.51 represents shares allocated to Mr. Drennan's account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan (ESOP) as of March 26, 2003 and held in the ESOP Trust and 22,654.12 represents shares held in the employer stock fund of the Astoria Incentive Savings Plan ("401(k) Plan") for the account of Mr. Drennan as of September 5, 2003, shares are held in the 401(k) Plan Trust.
  • [F5]The options were granted pursuant to the 1996 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1996 Plan.
  • [F6]Options were granted pursuant to the 1999 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1999 Plan.
  • [F7]On original form 4 filed on 11/07/03, this was erroneously recorded as a P code. It was a sale transaction.
  • [F8]On original form 4 filed on 11/07/03, this was erroneously recorded in the acquired column rather than the disposed of column.
  • [F9]On original form 4 file on 11/07/03, footnote 1 was erroneoulsy not indicated.

Documents

1 file

Issuer

ASTORIA FINANCIAL CORP

CIK 0000910322

→
Entity typeother

Related Parties

1
  • filerCIK 0001210747

Filing Metadata

Form type
4/A
Filed
Nov 12, 7:00 PM ET
Accepted
Nov 13, 10:51 AM ET
Size
62.0 KB
View on SEC.gov