Basswood Capital Loaded Up On Astoria Financial Corp (AF) Stock Ahead Of Canceled Merger

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Page 19 of 27 – SEC Filing
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.
Pursuant to Rule 13d-1(k) promulgated under the Exchange Act, the Reporting Persons have entered into a Joint Filing Agreement, a copy of which is filed with this Schedule 13D as Exhibit 99.1, with respect to the joint filing of this Schedule 13D and any amendment or amendments thereto.
In addition to the 75,873 shares of Common Stock reported herein as beneficially owned by it, GSLP has a short position in the Common Stock which it established in 1998 by borrowing and selling 75,873 shares of Common Stock in market transactions.  Accordingly, GSLP will be required to return 75,873 shares of Common Stock to the lender of such shares.
In addition to the 1,056,045 shares of Common Stock reported herein as acquired by BOP in the LIB Merger and the 511,880 other shares of Common Stock beneficially owned by it, BOP has a short position in the Common Stock which it established in 1998 by borrowing and selling 1,056,045 shares of Common Stock in market transactions.  Accordingly, BOP will be required to return 1,056,045 shares of Common Stock to the lender of such shares.
Other than as described herein, there are no contracts, arrangements, understandings or relationships (legal or otherwise) between the Reporting Persons and any other person with respect to the securities of the Issuer.
Item 7.          Material to be filed as Exhibits.
1. Exhibit 99.1 – Joint Filing Agreement, dated as of December 20, 2016
2. Exhibit 99.2 – Letter to the Board of Directors, dated as of December 9, 2016

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