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 [ NYCB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 04/01/2017 | ||||||||||||||||||||||||||
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 | 03/01/2017 | G | V | 17,000 | D | $0.0000 | 0.0000(1) | I | By 2013 GRAT II | |
Common Stock | 04/01/2017 | A | 3,000 | A | $0.0000 | 3,000 | I | By Stock Award V(2) | ||
Common Stock | 999,127(3) | D | ||||||||
Common Stock | 53,460 | I | By IRA | |||||||
Common Stock | 54,000 | I | BY JMT 2012 Trust | |||||||
Common Stock | 80,649 | I | By Spouse | |||||||
Common Stock | 600 | I | By Stock Award(4) | |||||||
Common Stock | 1,200 | I | By Stock Award II(5) | |||||||
Common Stock | 2,400 | I | By Stock Award III(6) | |||||||
Common Stock | 3,000 | I | By Stock Award IV(7) |
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 |
Explanation of Responses: |
1. Reflects the transfer of 115,000 shares to Mr. Tsimbinos' account on March 1, 2017. |
2. 3,000 shares, granted under Stock Award V on April 1, 2017 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest in five equal annual installments commencing on April 1, 2018. |
3. The number of shares held directly includes certain shares that were previously held by Stock Awards, and 115,000 shares that were previously held by 2013 GRAT II. |
4. The remaining 600 shares, granted under Stock Award on January 10, 2013 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan will vest on January 10, 2018. |
5. The remaining 1,200 shares, granted under Stock Award II on January 10, 2014 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest in two equal annual installments commencing on January 10, 2018. |
6. The remaining 2,400 shares, granted under Stock Award III on May 1, 2015 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest in four equal annual installments commencing on May 1, 2017. |
7. 3,000 shares, granted under Stock Award IV on May 1, 2016 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest in five equal annual installments commencing on May 1, 2017. |
/s/ Ilene A. Angarola, Power of Attorney | 04/04/2017 | |
** 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. |