-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, FkEvh+m2HMo9qtY3x01HJYQCWY1kfD02UkJobKgs5FeCgbHdH0UrDzUGMRNxbVTn Q3vBeRDuakCpFlAf6Y1tpA== 0001210749-04-000002.txt : 20040127 0001210749-04-000002.hdr.sgml : 20040127 20040127182806 ACCESSION NUMBER: 0001210749-04-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040126 FILED AS OF DATE: 20040127 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ENGELKE GEORGE L JR CENTRAL INDEX KEY: 0001210749 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11967 FILM NUMBER: 04547457 MAIL ADDRESS: STREET 1: ONE ASTORIA FEDERAL PLAZA CITY: LAKE SUCCESS STATE: NY ZIP: 11042 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ASTORIA FINANCIAL CORP CENTRAL INDEX KEY: 0000910322 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 113170868 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE ASTORIA FEDERAL PLAZA CITY: LAKE SUCCESS STATE: NY ZIP: 11042-1085 BUSINESS PHONE: 5163273000 MAIL ADDRESS: STREET 1: ONE ASTORIA FEDERAL PLAZA CITY: LAKE SUCCESS STATE: NY ZIP: 11042-1085 4 1 primary_doc.xml PRIMARY DOCUMENT X0201 4 2004-01-26 0 0000910322 ASTORIA FINANCIAL CORP AF 0001210749 ENGELKE GEORGE L JR ONE ASTORIA FEDERAL PLAZA LAKE SUCCESS NY 11042 1 1 0 0 Chairman,President & CEO Common Stock 2004-01-26 4 F 0 1839 22.5313 A 810092 D Common Stock 2004-01-26 4 F 0 4095 14.9375 A 814187 D Common Stock 2004-01-26 4 F 0 1425 24.8438 A 815612 D Common Stock 4000 I Spouse Common Stock 21643.79 I ESOP Common Stock 19135.91 I 401 (k) Non-Statutory Stock Option 18 1998-08-19 2006-12-17 Common Stock 40000 40000 D Non-Statutory Stock Option 29.0625 1998-08-19 2007-12-16 Common Stock 60000 60000 D Incentive Stock Option 22.5312 2004-01-26 4 M 0 4438 0 D 2002-01-10 2008-12-15 Common Stock 4438 0 D Non-Statutory Stock Option 22.5312 2002-01-10 2008-12-15 Common Stock 167562 167562 D Incentive Stock Option 14.9375 2004-01-26 4 M 0 6694 0 D 2003-01-10 2009-12-14 Common Stock 6694 0 D Non-Statutory Stock Option 14.9375 2003-01-10 2009-12-14 Common Stock 219306 219306 D Incentive Stock Option 24.8438 2004-01-26 4 M 0 4024 0 D 2004-01-10 2010-12-19 Common Stock 4024 0 D Non-Statutory Stock Option 24.8438 2004-01-10 2010-12-19 Common Stock 275976 275976 D Incentive Stock Option 25.25 2005-01-10 2011-12-18 Common Stock 3960 3960 D Non-Statutory Stock Option 25.25 2005-01-10 2011-12-18 Common Stock 246040 246040 D Incentive Stock Option 27 2006-01-10 2012-12-17 Common Stock 3703 3703 D Non-Statutory Stock Option 27 2006-01-10 2012-12-17 Common Stock 266297 266297 D Incentive Stock Option 36.6 2007-01-10 2013-12-16 Common Stock 2732 2732 D Non-Statutory Stock Option 36.6 2007-01-10 2013-12-16 Common Stock 207268 207268 D Shares are held by Mr. Engelke's spouse. Represents shares allocated to Mr. Engelke's account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan ("ESOP") as of August 12, 2003 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. Engelke as of September 5, 2003. Shares are held in the 401(k) Plan Trust. Options were granted pursuant to the 1996 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1996 Plan. 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. All derivative securities were granted at a price $0.00. George L. Engelke, Jr. 2004-01-27 -----END PRIVACY-ENHANCED MESSAGE-----