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Filing Details

Accession Number:: 0001144204-14-010291
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-02-18 16:24:53
Reporting Period:: 2014-02-13

Filing Date:: 2014-02-18
Accepted Time:: 2014-02-18 16:24:53
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
910322	Astoria Financial Corp	AF	Savings Institution, Federally Chartered (6035)	113170868

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1538911	Josie Callari	One Astoria Federal Plaza Lake Success NY US 11042	Executive Vice President	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Disposition	2014-02-13	4,000	$12.87	111,955	No	4	S	Direct
Common Stock	Disposition	2014-02-13	2,000	$12.93	109,955	No	4	S	Direct
Common Stock	Disposition	2014-02-13	2,000	$12.95	107,955	No	4	S	Direct
Common Stock	Disposition	2014-02-13	3,458	$13.00	104,497	No	4	S	Direct
Common Stock	Disposition	2014-02-13	1,381	$12.99	103,116	No	4	S	Direct
Common Stock	Disposition	2014-02-14	2,000	$13.05	101,116	No	4	S	Direct
Common Stock	Disposition	2014-02-14	1,620	$13.10	99,496	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	47,693	Indirect	ESOP
Common Stock	8,225	Indirect	401(k)
Common Stock	2,920	Indirect	RSA
Common Stock	4,316	Indirect	RSA
Common Stock	9,220	Indirect	RSA
Common Stock	10,980	Indirect	RSA

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Non-Statutory Stock Option	$26.63	2005-12-22	2014-12-14	3,754	3,754	Direct
Common Stock	Non-Statutory Stock Option	$26.63	2005-12-22	2014-12-14	43,196	43,196	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2014-12-14	3,754	3,754	Direct
2014-12-14	43,196	43,196	Direct

Footnotes

Represents shares allocated to Mrs. Callari's account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan ("ESOP") as of December 31, 2013 and held in the ESOP Trust.
Represents shares held in the Employer Stock Fund of the Astoria Incentive Savings Plan ("401(k) Plan") for the account of Mrs. Callari as of December 31, 2013. Shares are held in the 401(k) Plan Trust.
Represents award of restricted stock dated February 1, 2010 pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2005 Plan). The shares of restricted stock will vest as follows: 2,920 shares on December 15, 2014 or, if earlier, upon the death, Disability or Change in Control (as such terms are defined in the 2005 Plan) or, pursuant to the terms of her employment agreements with the Company and Astoria Federal Savings and Loan Association (the Association), upon her termination of employment by the Company or the Association prior to the end of the term of such employment agreements without Cause, as defined therein.
Represents award of restricted stock dated January 31, 2011 pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2005 Plan). The shares of restricted stock will vest as follows: 2,158 shares on December 15, 2014, and 2,158 shares on December 14, 2015 or, if earlier, upon the death, Disability or Change in Control (as such terms are defined in the 2005 Plan) or, pursuant to the terms of her employment agreements with the Company and Astoria Federal Savings and Loan Association (the Association), upon her termination of employment by the Company or the Association prior to the end of the term of such employment agreements without Cause, as defined therein.
Represents award of restricted stock dated January 28, 2013 pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2005 Plan). The shares of restricted stock will vest as follows: 4,610 shares on December 15, 2014, and 4,610 shares on December 14, 2015 or, if earlier, upon the death, Disability or Change in Control (as such terms are defined in the 2005 Plan) or, pursuant to the terms of her employment agreements with the Company and Astoria Federal Savings and Loan Association (the Association), upon her termination of employment by the Company or the Association prior to the end of the term of such employment agreements without Cause, as defined therein.
Represents award of restricted stock dated February 3, 2014 pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2005 Plan). The shares of restricted stock will vest as follows: 3,660 shares on December 15, 2014, 3,660 shares on December 14, 2015, and 3,660 shares on December 14, 2016 or, if earlier, upon the death, Disability or Change in Control (as such terms are defined in the 2005 Plan) or, pursuant to the terms of her employment agreements with the Company and Astoria Federal Savings and Loan Association (the Association), upon her termination of employment by the Company or the Association prior to the end of the term of such employment agreements without Cause, as defined therein.
Options were granted pursuant to the 2003 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 2003 Plan.
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).