Home > Insider Trading > Filing (0001144204-11-059415)

Filing Details

Accession Number:: 0001144204-11-059415
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2011-10-26 14:39:10
Reporting Period:: 2011-10-25

Filing Date:: 2011-10-26
Accepted Time:: 2011-10-26 14:39:10
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 US 11042	Executive Vice President	No	Yes	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	2011-10-25	510	$7.80	223,523	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	928	Indirect	IRA Spouse
Common Stock	60,000	Indirect	Spouse
Common Stock	47,040	Indirect	ESOP
Common Stock	73,367	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

Show Other Fields >>

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

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.
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.
Shares are held by Mr. Greenberg's spouse.
Represents shares allocated to Mr. Greenberg's account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan ("ESOP") as of September 30, 2011 and held in the ESOP Trust.
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 September 30, 2011. Shares are held in the 401(k) Plan Trust.
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.
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.
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.
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.
Options were granted pursuant to the 1999 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1999 Plan.
Options were granted pursuant to the 2003 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 2003 Plan.
Options were granted pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation, or the 2005 Plan.
Sale of shares from IRA Account due to Mandatory Distribution.