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Filing Details

Accession Number:
0001144204-14-045386
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-07-29 12:19:26
Reporting Period:
2014-07-29
Filing Date:
2014-07-29
Accepted Time:
2014-07-29 12:19:26
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
1595356 J Matthew Gutauskas One Astoria Bank Plaza
Lake Success NY US 11042
Executive Vice President No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2014-07-29 5,500 $13.23 6,321 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 7,298 Indirect 401(k)
Common Stock 4,740 Indirect RSA
Common Stock 12,630 Indirect RSA
Common Stock 12,500 Indirect RSA
Footnotes
  1. Represents shares held in the Employer Stock Fund of Astoria Incentive Savings Plan ("401(k) Plan") for the account of Mr. Gutauskas as of June 30, 2014. Shares are held in the 401(k) Plan Trust.
  2. 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: 2,370 shares on December 15, 2014, and 2,370 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 his employment agreements with the Company and Astoria Federal Savings and Loan Association (the Association), upon his 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.
  3. 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: 4,210 shares on December 15, 2014, 4,210 shares on December 14, 2015, and 4,210 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 his employment agreements with the Company and Astoria Federal Savings and Loan Association (the Association), upon his 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.
  4. Represents award of restricted stock dated July 11, 2012 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: 12,500 shares on July 10, 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 his employment agreements with the Company and Astoria Federal Savings and Loan Association (the Association), upon his 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.
  5. This transaction was executed in multiple trades at prices ranging from $13.19 to $13.26. 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.