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Filing Details

Accession Number:: 0001562180-14-000022
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-11-21 17:00:58
Reporting Period:: 2014-11-20

Filing Date:: 2014-11-21
Accepted Time:: 2014-11-21 17:00:58
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
1538912	J Robert Destefano	One Astoria Bank Plaza Lake Success NY US 11042	Executive Vice President	No	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2014-11-20	30,984	$13.09	46,723	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	52,696	Indirect	401(k)
Common Stock	2,870	Indirect	RSA
Common Stock	3,856	Indirect	RSA
Common Stock	7,940	Indirect	RSA
Common Stock	9,390	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	40,346	40,346	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2014-12-14	3,754	3,754	Direct
2014-12-14	40,346	40,346	Direct

Footnotes

This transaction was executed in multiple trades at prices ranging from $13.0748 to $13.1250. 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.
Represents shares held in the Employer Stock Fund of the Astoria Incentive Savings Plan ("401(k) Plan") for the account of Mr. DeStefano as of September 30, 2014. 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: 2,870 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 his employment agreements with the Company and Astoria Bank (the Bank), upon his termination of employment by the Company or the Bank 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: 1,928 shares on December 15, 2014, and 1,928 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 Bank (the Bank), upon his termination of employment by the Company or the Bank 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: 3,970 shares on December 15, 2014, and 3,970 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 Bank (the Bank)upon his termination of employment by the Company or the Bank 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: 3,130 shares on December 15, 2014, 3,130 shares on December 14, 2015, and 3,130 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 Bank (the Bank), upon his termination of employment by the Company or the Bank 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.