Filing Details
- Accession Number:
- 0001144204-14-006896
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-07 15:38:53
- Reporting Period:
- 2014-02-05
- Filing Date:
- 2014-02-07
- Accepted Time:
- 2014-02-07 15:38:53
- 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 |
|---|---|---|---|---|---|---|---|
| 1210750 | Jr C Peter Haeffner | One Astoria Federal Plaza Lake Success NY US 11042 | Yes | No | 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 | 2014-02-05 | 3,160 | $12.71 | 4,500 | 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 | 4,639 | Indirect | RSA |
| Common Stock | 1,031 | Indirect | RSA |
| Common Stock | 3,565 | Indirect | RSA |
| Common Stock | 793 | Indirect | RSA |
| Series C Preferred Stock | 1,500 | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Statutory Stock Option | $26.23 | 2005-01-18 | 2015-01-17 | 6,000 | 6,000 | Direct |
| Common Stock | Non-Statutory Stock Option | $29.79 | 2006-01-17 | 2016-01-16 | 6,000 | 6,000 | Direct |
| Common Stock | Non-Statutory Stock Option | $29.72 | 2007-01-16 | 2017-01-15 | 6,000 | 6,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2015-01-17 | 6,000 | 6,000 | Direct |
| 2016-01-16 | 6,000 | 6,000 | Direct |
| 2017-01-15 | 6,000 | 6,000 | Direct |
Footnotes
- Represents award of restricted stock dated January 28, 2013 pursuant to the Astoria Financial Corporation 2007 Non-Employee Director Stock Plan, or the 2007 Plan. The restricted stock will vest on January 28, 2016 or, if earlier, upon the death, Disability, Mandatory Retirement, Change in Control or Involuntary Termination, all as specified in the 2007 Plan.
- Represents discretionary grant on January 28, 2013 of restricted stock pursuant to the Astoria Financial Corporation 2007 Non-Employee Director Stock Plan, or the 2007 Plan. The restricted stock will vest and be distributed effective January 28, 2016 or earlier upon the death, disability or Mandatory Retirement, on a Change in Control, or Involuntary Termination, all as specified in the 2007 Plan.
- Represents award of restricted stock dated February 3, 2014 pursuant to the Astoria Financial Corporation 2007 Non-Employee Director Stock Plan, or the 2007 Plan. The restricted stock will vest on February 3, 2017 or, if earlier, upon the death, Disability, Mandatory Retirement, Change in Control or Involuntary Termination, all as specified in the 2007 Plan.
- Represents discretionary grant on February 3, 2014 of restricted stock pursuant to the Astoria Financial Corporation 2007 Non-Employee Director Stock Plan, or the 2007 Plan. The restricted stock will vest and be distributed effective February 3, 2017 or earlier upon the death, disability or Mandatory Retirement, on a Change in Control, or Involuntary Termination, all as specified in the 2007 Plan.
- Options were granted pursuant to the 1999 Stock Option Plan for Outside Directors of Astoria Financial Corporation, or the 1999 Plan.
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