FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 11/25/2003 |
3. Issuer Name and Ticker or Trading Symbol
ASTORIA FINANCIAL CORP [ AF ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 10,276 | D | |
Common Stock | 17,811.39 | I(1) | ESOP |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Incentive Stock Option(2) | 12/21/2000 | 12/20/2005 | Common Stock | 2,104 | $11.2188 | D | |
Non-Statutory Stock Option(3) | 08/19/1998 | 12/17/2006 | Common Stock | 16,000 | $18 | D | |
Non-Statutory Stock Option(3) | 08/19/1998 | 12/16/2007 | Common Stock | 26,000 | $29.0625 | D | |
Incentive Stock Option(3) | 01/10/2002 | 12/15/2008 | Common Stock | 4,438 | $22.5312 | D | |
Non-Statutory Stock Option(3) | 01/10/2002 | 12/15/2008 | Common Stock | 10,562 | $22.5312 | D | |
Incentive Stock Option(4) | 01/10/2003 | 12/14/2009 | Common Stock | 6,694 | $14.9375 | D | |
Non-Statutory Stock Option(4) | 01/10/2003 | 12/14/2009 | Common Stock | 21,306 | $14.9375 | D | |
Incentive Stock Option(4) | 01/10/2004 | 12/19/2010 | Common Stock | 4,024 | $24.8438 | D | |
Non-Statutory Stock Option(4) | 01/10/2004 | 12/19/2010 | Common Stock | 23,976 | $24.8438 | D | |
Incentive Stock Option(4) | 01/10/2005 | 12/18/2011 | Common Stock | 3,960 | $25.25 | D | |
Non-Statutory Stock Option(4) | 01/10/2005 | 12/18/2011 | Common Stock | 20,640 | $25.25 | D | |
Incentive Stock Option(4) | 01/10/2006 | 12/17/2012 | Common Stock | 3,703 | $27 | D | |
Non-Statutory Stock Option(4) | 01/10/2006 | 12/17/2012 | Common Stock | 29,297 | $27 | D |
Explanation of Responses: |
1. Represents shares allocated to Mr. McCann's account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan ("ESOP") as of March 26, 2003 and held in the ESOP Trust. |
2. Options were granted pursuant to the Astoria Financial Corporation 1993 Incentive Stock Option Plan, or the 1993 Plan. |
3. Options were granted pursuant to the 1996 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1996 Plan. |
4. Options were granted pursuant to the 1999 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1999 Plan. |
Remarks: |
On November 19, 2003 the Board of Directors of Astoria Financial Corporation appointed Gary T. McCann, Executive Vice President effective December 1, 2003. |
Gary T. McCann by Alan P. Eggleston, attorney-in-fact | 11/25/2003 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |