4//SEC Filing
ASTORIA FINANCIAL CORP 4
Accession 0001562180-15-001121
CIK 0000910322operating
Filed
Dec 27, 7:00 PM ET
Accepted
Dec 28, 10:11 AM ET
Size
22.6 KB
Accession
0001562180-15-001121
Insider Transaction Report
Form 4
Callari Josie
Executive Vice President
Transactions
- Tax Payment
Common Stock
2015-12-23−1,354→ 0 total - Other
Common Stock
2015-12-23−3,660→ 3,660 total(indirect: RSA Vest) - Other
Common Stock
2015-12-23$15.95/sh+2,306$36,781→ 124,944.27 total - Exercise/Conversion
Common Stock
2015-12-23$15.95/sh+13,900$221,705→ 125,471.27 total - Exercise/Conversion
Restricted Stock Unit
2015-12-23+13,900→ 13,900 totalExercise: $0.00From: 2015-12-23Exp: 2015-12-30→ Common Stock (13,900 underlying) - Tax Payment
Common Stock
2015-12-23−1,354→ 0 total - Other
Common Stock
2015-12-23$15.95/sh+2,306$36,781→ 122,638.27 total - Tax Payment
Common Stock
2015-12-23$15.95/sh−5,139$81,967→ 120,332.27 total - Other
Common Stock
2015-12-23−3,660→ 0 total(indirect: RSA Vest)
Holdings
- 60,653.46(indirect: By 401(k))
Common Stock
Footnotes (9)
- [F1]Represents value of restricted stock at time of vesting and is the value of services rendered by the Reporting Person to the Issuer.
- [F2]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 Mrs. Callari and son (Francesco).
- [F3]Surrender to Astoria Financial Corporation to cover the minimum statutory tax withholding obligations occasioned by the vesting of Restricted Stock Units.
- [F4]Represents one-third 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 December 23, 2015. The transaction represents a change in the form of beneficial ownership from indirect to direct.
- [F5]Shares were withheld for taxes at vest.
- [F6]Represents one-third vesting of a previous award of restricted stock pursuant to the 2014 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation, or the 2014 Plan. The restricted stock vested and was distributed on December 23, 2015. The transaction represents a change in the form of beneficial ownership from indirect to direct.
- [F7]Represents award of restricted stock dated April 27, 2015 pursuant to the 2014 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2014 Plan). The shares of restricted stock will vest as follows: 3,660 shares on December 14, 2017 or if earlier, upon the death, Disability or Change in Control (as such terms are defined in the 2014 Plan) or pursuant to the terms of her employment agreements with the Company and Astoria Bank (the Bank) upon her termination of employment by the Company or the Bank prior to the end of the term of such employment agreements without Cause, as defined therein.
- [F8]Represents shares held in the Employer Stock Fund of the Astoria Bank 401(k) Plan for the account of Mrs. Callari as of September 30, 2015. Shares are held in the 401(k) Plan Trust.
- [F9]Vesting of Restricted Stock Units granted on January 28, 2013 pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2005 Plan).
Documents
Issuer
ASTORIA FINANCIAL CORP
CIK 0000910322
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0000910322
Filing Metadata
- Form type
- 4
- Filed
- Dec 27, 7:00 PM ET
- Accepted
- Dec 28, 10:11 AM ET
- Size
- 22.6 KB