Filing Details

Accession Number:
0001210863-11-000005
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2011-02-09 14:52:06
Reporting Period:
2011-02-07
Filing Date:
2011-02-09
Accepted Time:
2011-02-09 14:52:06
Original Submission Date:
2011-02-09
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
1210863 K Arnold Greenberg One Astoria Federal Plaza
Lake Success NY 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 2011-02-07 53,850 $14.85 223,803 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 900 Indirect IRA Spouse
Common Stock 60,000 Indirect Spouse
Common Stock 44,167 Indirect ESOP
Common Stock 69,897 Indirect 401(k)
Common Stock 16,600 Indirect RSA
Common Stock 16,290 Indirect RSA
Common Stock 17,900 Indirect RSA
Common Stock 16,350 Indirect RSA
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Incentive Stock Option $16.83 2005-01-10 2011-12-18 5,940 5,940 Direct
Common Stock Non-Statutory Stock Option $16.83 2005-01-10 2011-12-18 94,560 94,560 Direct
Common Stock Incentive Stock Option $18.00 2006-01-10 2012-12-17 5,554 5,554 Direct
Common Stock Non-Statutory Stock Option $18.00 2006-01-10 2012-12-17 124,946 124,946 Direct
Common Stock Non-Statutory Stock Option $24.40 2005-12-22 2013-12-16 4,098 4,098 Direct
Common Stock Non-Statutory Stock Option $24.40 2005-12-22 2013-12-16 90,402 90,402 Direct
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 2014-12-14 128,246 128,246 Direct
Common Stock Non-Statutory Stock Option $29.02 2009-01-09 2012-12-20 112,700 112,700 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2011-12-18 5,940 5,940 Direct
2011-12-18 94,560 94,560 Direct
2012-12-17 5,554 5,554 Direct
2012-12-17 124,946 124,946 Direct
2013-12-16 4,098 4,098 Direct
2013-12-16 90,402 90,402 Direct
2014-12-14 3,754 3,754 Direct
2014-12-14 128,246 128,246 Direct
2012-12-20 112,700 112,700 Direct
Footnotes
  1. 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. Greenberg.
  2. 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 held in the Individual Retirement Account of Mr. Greenberg's spouse.
  3. Shares are held by Mr. Greenberg's spouse.
  4. Represents shares allocated to Mr. Greenberg's account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan ("ESOP") as of December 31, 2010 and held in the ESOP Trust.
  5. Represents shares held in the Employer Stock Fund of the Astoria Incentive Savings Plan ("401(k) Plan") for the account of Mr. Greenberg as of December 31, 2010. Shares are held in the 401(k) Plan Trust.
  6. Represents award of restricted stock dated December 20, 2006 pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2005 Plan). The restricted stock will vest on January 9, 2012 or, if earlier, upon the death, Disability or retirement at normal retirement age, or Change of 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 the employment by the Company or the Association prior to the end of the term of such employment agreements without Cause, as defined therein.
  7. Represents award of restricted stock dated February 2, 2009 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: 16,290 shares on December 15, 2011 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.
  8. 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: 8,950 shares on December 14, 2011 and 8,950 shares on December 14, 2012 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.
  9. 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: 5,450 shares on December 14, 2011, 5,450 shares on December 14, 2012, and 5,450 shares on December 16, 2013 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.
  10. Options were granted pursuant to the 1999 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1999 Plan.
  11. Options were granted pursuant to the 2003 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 2003 Plan.
  12. Options were granted pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation, or the 2005 Plan.
  13. This transaction was executed in multiple trades at prices ranging from $14.80 to $14.952. 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.