4//SEC Filing
REDMAN MONTE N 4
Accession 0001562180-17-002646
CIK 0000910322other
Filed
Aug 9, 8:00 PM ET
Accepted
Aug 10, 4:52 PM ET
Size
14.3 KB
Accession
0001562180-17-002646
Insider Transaction Report
Form 4
REDMAN MONTE N
President & COO
Transactions
- Sale
Common Stock
2017-08-08$20.02/sh−6,611$132,364→ 561,300.14 total
Holdings
- 17,140(indirect: RSA)
Common Stock
- 43,840(indirect: RSA)
Common Stock
- 9,683.15(indirect: By Spouse)
Common Stock
- 93,688.12(indirect: By 401(k))
Common Stock
- 49,950(indirect: RSA)
Common Stock
Footnotes (7)
- [F1]This transaction was executed in multiple trades at prices ranging from $20.00 to $20.09. 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.
- [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 Mr. Redman.
- [F3]Includes shares acquired pursuant to the Astoria Financial Corporation Dividend Reinvestment Stock Purchase Plan which are exempt from the operation of Section 16 of the Securities Exchange Act of 1934 that are held by Mr. Redman's spouse.
- [F4]Represents shares held in the Employer Stock Fund of the Astoria Bank 401(k) Plan for the account of Mr. Redman as of June 30, 2017. Shares are held in the 401(k) Plan Trust.
- [F5]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: 17,140 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.
- [F6]Represents award of restricted stock dated February 1, 2016 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: 21,920 shares on December 14, 2017 and 21,920 shares on December 14, 2018 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]Represents award of restricted stock dated March 22, 2017 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: 16,650 shares on December 14, 2017,16,650 shares on December 14, 2018 and 16,650 shares on December 16, 2019 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.
Issuer
ASTORIA FINANCIAL CORP
CIK 0000910322
Entity typeother
Related Parties
1- filerCIK 0001210755
Filing Metadata
- Form type
- 4
- Filed
- Aug 9, 8:00 PM ET
- Accepted
- Aug 10, 4:52 PM ET
- Size
- 14.3 KB