ASTORIA FINANCIAL CORP 4

Accession 0001562180-15-001131

CIK 0000910322operating

View on SEC.gov Company Profile

Filed

Dec 27, 7:00 PM ET

Accepted

Dec 28, 4:03 PM ET

Size

22.9 KB

Accession

0001562180-15-001131

Insider Transaction Report

Form 4

Period: 2015-12-23

ASTORIA FINANCIAL CORPAF

Fusco Frank E

Exec VP, Treasurer & CFO

Transactions

Other
Common Stock
2015-12-23$15.95/sh+4,106$65,491→ 347,539 total
Exercise/Conversion
Common Stock
2015-12-23$15.95/sh+30,600$488,070→ 359,198 total
Tax Payment
Common Stock
2015-12-23−4,374→ 0 total
Other
Common Stock
2015-12-23−8,480→ 0 total(indirect: RSA Vest)
Tax Payment
Common Stock
2015-12-23−4,461→ 0 total
Other
Common Stock
2015-12-23$15.95/sh+4,189$66,815→ 351,728 total
Tax Payment
Common Stock
2015-12-23$15.95/sh−15,765$251,452→ 343,433 total
Other
Common Stock
2015-12-23−8,650→ 8,650 total(indirect: RSA Vest)
Exercise/Conversion
Restricted Stock Unit
2015-12-23+30,600→ 30,600 total
Exercise: $0.00From: 2015-12-23Exp: 2015-12-30→ Common Stock (30,600 underlying)

Holdings

Common Stock
(indirect: By Spouse)
1,200
Common Stock
(indirect: By 401(k))
57,728.34

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]Surrender to Astoria Financial Corporation to cover the minimum statutory tax withholding obligations occasioned by the vesting of Restricted Stock Units.
[F3]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.
[F4]Shares were withheld for taxes at vest.
[F5]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.
[F6]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: 8,650 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 his employment agreements with the Company and Astoria Bank (the Bank) upon his 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.
[F7]Shares are held by Mr. Fusco's spouse.
[F8]Represents shares held in the Employer Stock Fund of the Astoria Bank 401(k) Plan for the account of Mr. Fusco 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

1 file

4
primarydocument.xmlPrimary
PRIMARY DOCUMENT

Issuer

ASTORIA FINANCIAL CORP

CIK 0000910322

→

Entity typeoperating

IncorporatedDE

Related Parties

filerCIK 0000910322

Filing Metadata

Form type: 4
Filed: Dec 27, 7:00 PM ET
Accepted: Dec 28, 4:03 PM ET
Size: 22.9 KB

View on SEC.gov