FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
NEW YORK COMMUNITY BANCORP INC [ NYB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 01/04/2010 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 02/27/2009 | J | V | 100,000(1) | D | $0 | 595,584 | D | ||
Common Stock | 05/26/2009 | J | V | 52,000(2) | A | $0 | 647,584 | D | ||
Common Stock | 07/27/2009 | G | V | 52,000(3) | D | $0 | 595,584 | D | ||
Common Stock | 08/26/2009 | J | V | 46,000(4) | D | $0 | 549,584 | D | ||
Common Stock | 12/23/2009 | J | V | 26,350(5) | A | $0 | 575,934 | D | ||
Common Stock | 12/23/2009 | J | V | 26,350(5) | D | $0 | 53,650 | I | By Max Kupferberg 2008 GRAT II | |
Common Stock | 02/27/2009 | J | V | 100,000(1) | A | $0 | 100,000 | I | By Max Kupferberg 2009 GRAT | |
Common Stock | 08/26/2009 | J | V | 46,000(4) | A | $0 | 46,000 | I | By Max Kupferberg 2009 GRAT II | |
Common Stock | 05/26/2009 | J | V | 52,000(2) | D | $0 | 0 | I | By Max Kupferberg GRAT I | |
Common Stock | 05/26/2009 | J | V | 52,000(6) | D | $0 | 0 | I | By Selma Kupferberg 2008 GRAT I | |
Common Stock | 12/23/2009 | J | V | 26,350(7) | D | $0 | 53,650 | I | By Selma Kupferberg 2008 GRAT II | |
Common Stock | 02/27/2009 | J | V | 50,000(8) | A | $0 | 50,000 | I | By Selma Kupferberg 2009 GRAT | |
Common Stock | 08/26/2009 | J | V | 46,000(9) | A | $0 | 46,000 | I | By Selma Kupferberg 2009 GRAT II | |
Common Stock | 02/27/2009 | J | V | 50,000(8) | D | $0 | 69,389 | I | By Spouse | |
Common Stock | 05/26/2009 | J | V | 52,000(6) | A | $0 | 121,389 | I | By Spouse | |
Common Stock | 08/26/2009 | J | V | 46,000(9) | D | $0 | 75,389 | I | By Spouse | |
Common Stock | 12/23/2009 | J | V | 26,350(7) | A | $0 | 101,739 | I | By Spouse | |
Common Stock | 01/04/2010 | S(10) | 10,000(11) | D | $14.36 | 760,260 | I | Trustee for KRT | ||
Common Stock | 536,377 | I | As Partner | |||||||
Common Stock | 1,105,821 | I | As shareholder of the Max K One LLC | |||||||
Common Stock | 185,777 | I | By Kupferberg Foundation | |||||||
Common Stock | 97,288 | I | Max & Selma Kupferberg Foundation | |||||||
Common Stock | 7,666 | I | Trustee for EW of JK FBO LC | |||||||
Common Stock | 7,666 | I | Trustee for EW of JK FBO MK | |||||||
Common Stock | 30,000 | I | Trustee for GST |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $15.4125 | 07/24/2002(12) | 01/24/2012 | Common Stock | 216,000 | 216,000 | D | ||||||||
Stock Option (right to buy) | $13.845 | 07/24/2003(13) | 07/24/2012 | Common Stock | 45,333 | 45,333 | D |
Explanation of Responses: |
1. 100,000 shares previously held by direct ownership have been transferred and are now held by the Max Kupferberg 2009 GRAT I. |
2. 52,000 shares previously held by Max Kupferberg GRAT I have been transferred and are now held directly. |
3. On July 27, 2009, Mr. Kupferberg gifted 52,000 shares to an educational foundation. |
4. 46,000 shares previously held by direct ownership have been transferred and are now held by the Max Kupferberg 2009 GRAT II. |
5. 26,350 shares previously held by Max Kupferberg 2008 GRAT II have been transferred and are now held directly. |
6. 52,000 shares previously held by Selma Kupferberg 2008 GRAT I have been transferred and are now held by Spouse. |
7. 26,350 shares previously held by Selma Kupferberg 2008 GRAT II have been transferred and are now held by Spouse. |
8. 50,000 shares previously held by Spouse have been transferred and are now held by the Selma Kupferberg 2009 GRAT I. |
9. 46,000 shares previously held by Spouse have been transferred and are now held by the Selma Kupferberg 2009 GRAT II. |
10. The shares being sold from the Kepco Inc. 401(k) Savings and Retirement Plan are pursuant to a 10b5-1 Plan that was submitted to, and approved by, the Board of Directors of New York Community Bancorp, Inc. on May 19, 2009. The purpose of this Sales Plan is to achieve the investment objectives of broader diversification of investments, in accordance with the obligations of the Kepco plan administrators. |
11. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.26 to $14.56, inclusive. The reporting person undertakes to provide to New York Community Bancorp, Inc., any security holder of New York Community Bancorp, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares at each separate price within the ranges set forth in this footnote. |
12. Stock Options automatically granted pursuant to the reload feature of the New York Community Bancorp, Inc. 1997 Stock Option Plan that were exercisable on July 24, 2002. |
13. Stock Options granted pursuant to the New York Community Bancorp, Inc. 1997 Stock Option Plan vest in equal installments beginning on July 24, 2003 and were fully vested and exercisable as of July 24, 2005. |
Remarks: |
/s/ Ilene A. Angarola, Power of Attorney | 01/06/2010 | |
** 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 4 (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. |