UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
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CURRENT REPORT ON FORM 8-K
| Item 5.04. | Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans. |
On December 5, 2023, a notice (the “Notice”) of an impending “blackout period” for trading in New York Community Bancorp, Inc. (the “Company”) equity securities (“NYCB stock”) beginning on December 21, 2023, was issued to executive officers and directors of the Company pursuant Rule 104 of Regulation BTR, promulgated under Section 306(a)(6) of the Sarbanes Oxley Act of 2002.
The blackout period, which is necessary to transfer the assets, recordkeeping and other services related to the Company’s Employee Savings Plan (the “401(k) Plan”) from the current administrator of the Plan, Pentegra Services, Inc., to Empower Retirement, LLC, is expected to begin at 4:00 pm Eastern Time on December 21, 2023, and is expected to be completed by the week of January 15, 2024, provided, however, that the blackout period may be extended due to events that are beyond the control of the Company.
Under the Sarbanes-Oxley Act of 2002 and Regulation BTR of the Securities Exchange Act, the executive officers and directors of the Company will generally be prohibited from engaging in transactions involving NYCB stock (including NYCB preferred stock or options and other derivatives based on NYCB stock) during this blackout period, including transactions involving shares of NYCB stock that are held outside of the 401(k) Plan.
During the blackout period, and for a period of two years after the end date thereof, a security holder or other interested person may obtain, without charge, information regarding the blackout period, including the actual beginning and end dates of the blackout period from, and may direct other inquiries about the blackout period to, Jan Klym, Assistant Corporate Secretary, New York Community Bancorp, Inc., 102 Duffy Avenue, Hicksville, New York 11801; telephone number: (248) 312-6029.
A copy of the Notice is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
| Item 9.01 | Financial Statements and Exhibits |
| Exhibit |
Description | |
| 99.1 | Special Black-Out Notice Concerning Limitations on Trading in New York Community Bancorp, Inc. Equity Securities | |
| 104 | Cover Page Interactive Date File (embedded within the Inline XBRL document) | |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| Date: December 5, 2023 | NEW YORK COMMUNITY BANCORP, INC. | |||||
| /s/ Salvatore DiMartino | ||||||
| Salvatore DiMartino | ||||||
| Executive Vice President | ||||||
| Chief of Staff to the CEO | ||||||