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Filing Details

Accession Number:: 0001562180-17-002658
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-08-11 17:06:00
Reporting Period:: 2017-08-10

Filing Date:: 2017-08-11
Accepted Time:: 2017-08-11 17:06:00
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
1538911	Josie Callari	One Astoria Bank Plaza Lake Success NY US 11042	Executive Vp	No	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2017-08-10	28,754	$19.33	101,093	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	53,303	Indirect	401(k)
Common Stock	3,660	Indirect	RSA
Common Stock	15,540	Indirect	RSA
Common Stock	17,310	Indirect	RSA

Footnotes

This transaction was executed in multiple trades at prices ranging from $19.28 to $19.35. 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.
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 Mrs. Callari and son (Francesco).
Represents shares held in the Employer Stock Fund of the Astoria Bank 401(k) Plan for the account of Ms. Callari as of June 30, 2017. Shares are held in the 401(k) Plan Trust.
Represents award of restricted stock dated April 27, 2015 pursuant to the 2014 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2014 Plan). The shares of restricted stock will vest as follows: 3,660 shares on December 14, 2017 or if earlier, upon the death, Disability or Change in Control (as such terms are defined in the 2014 Plan) or pursuant to the terms of her employment agreements with the Company and Astoria Bank (the Bank) upon her 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 1, 2016 pursuant to the 2014 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2014 Plan). The shares of restricted stock will vest as follows: 7,770 shares on December 14, 2017 and 7,770 shares on December 14, 2018 or if earlier, upon the death, Disability or Change in Control (as such terms are defined in the 2014 Plan) or pursuant to the terms of her employment agreements with the Company and Astoria Bank (the Bank) upon her 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 March 22, 2017 pursuant to the 2014 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2014 Plan). The shares of restricted stock will vest as follows: 5,770 shares on December 14, 2017, 5,770 shares on December 14, 2018 and 5,770 shares on December 16, 2019 or if earlier, upon the death, Disability or Change in Control (as such terms are defined in the 2014 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.