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
ASTORIA FINANCIAL CORP [ AF ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 04/30/2003 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) 05/06/2003 |
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 | 05/06/2003 | M | 55,564 | A | $6.25 | 228,180.83 | D | |||
Common Stock | 05/06/2003 | F | 20,820 | D | $25.7516 | 207,360.83 | D | |||
Common Stock | 05/06/2003 | S | 10,600 | D | $25.75 | 196,760.83 | D | |||
Common Stock | 05/06/2003 | S | 2,200 | D | $25.76 | 194,560.83 | D | |||
Common Stock | 05/06/2003 | S | 5,400 | D | $25.77 | 189,160.83 | D | |||
Common Stock | 05/06/2003 | S | 100 | D | $25.78 | 189,060.83 | D | |||
Common Stock | 05/06/2003 | S | 8,000 | D | $25.8 | 181,060.83 | D | |||
Common Stock | 05/06/2003 | S | 4,900 | D | $25.81 | 176,160.83 | D | |||
Common Stock | 05/06/2003 | S | 700 | D | $25.82 | 175,460.83 | D | |||
Common Stock | 05/06/2003 | S | 1,144 | D | $25.83 | 174,316.83 | D | |||
Common Stock | 05/06/2003 | S | 1,700 | D | $25.85 | 172,616.83 | D | |||
Common Stock | 04/30/2003 | G | 400 | D | (10) | 172,216.83 | D(10) | |||
Common Stock | 467.61 | I(1)(2) | DRIP & Spouse | |||||||
Common Stock | 21,571.51 | I(1)(3) | DRIP & ESOP | |||||||
Common Stock | 04/30/2003 | J | 100 | A | (1)(5) | 801.42 | I | Daughter | ||
Common Stock | 04/30/2003 | J | 100 | D | (4) | 0 | I | Custodian Daughter |
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 | ||||||||
Non-Statutory Stock Option(6) | $6.25 | 05/06/2003 | M | 55,564 | 01/15/1999 | 11/18/2003 | Common Stock | 135,564 | $0 | 80,000 | D(9) | ||||
Non-Statutory Stock Option(7) | $18 | 08/19/1998 | 12/17/2006 | Common Stock | 20,000 | 20,000 | D | ||||||||
Non-Statutory Stock Option(7) | $29.0625 | 08/19/1998 | 12/17/2007 | Common Stock | 35,000 | 35,000 | D | ||||||||
Non-Statutory Stock Option(7) | $22.5312 | 01/10/2002 | 12/15/2008 | Common Stock | 65,562 | 65,562 | D | ||||||||
Non-Statutory Stock Option(8) | $14.9375 | 01/10/2003 | 12/14/2009 | Common Stock | 73,306 | 73,306 | D | ||||||||
Incentive Stock Option(8) | $24.8438 | 01/10/2004 | 12/19/2010 | Common Stock | 4,024 | 4,024 | D | ||||||||
Non-Statutory Stock Option(8) | $24.8438 | 01/10/2004 | 12/19/2010 | Common Stock | 95,976 | 95,976 | D | ||||||||
Incentive Stock Option(8) | $25.25 | 01/10/2005 | 12/18/2011 | Common Stock | 3,960 | 3,960 | D | ||||||||
Non-Statutory Stock Option(8) | $25.25 | 01/10/2005 | 12/18/2011 | Common Stock | 84,040 | 84,040 | D | ||||||||
Incentive Stock Option | $27 | 01/10/2006 | 12/17/2012 | Common Stock | 3,703 | 3,703 | D | ||||||||
Non-Statutory Stock Option(8) | $27 | 01/10/2006 | 12/17/2012 | Common Stock | 110,297 | 110,297 | D |
Explanation of Responses: |
1. Includes shares acquired pursuant to the Astoria Financial Corporation ("AFC") Automatic Dividend Reinvestment and Stock Purchase Plan which are exempt from the operation of Section 16 of the Securities Exchange Act of 1934. |
2. Shares are held by Mr. Redman's spouse. |
3. Represents shares allocated to Mr. Redman's account under the Astoria Employee Stock Ownership Plan ("ESOP") as of March 26, 2003 and are held in the ESOP Trust. |
4. Shares were transferred from Mr. Redman as custodian under the NY Uniform Transfers to Minors Act for the benefit of Mr. Redman's daughter, to the direct ownership of Mr. Redmans Daughter. This transaction was erroneously not reported on the original form filed on May 6, 2003. |
5. Shares are held by Mr. Redman's Daughter. This includes shares that were transferred from Mr Redman as Custodian to the Direct Ownership of his daughter that was not reported on the original report filed. |
6. Options were granted pursuant to the AFC Incentive Stock Option Plan. |
7. Options have been granted pursuant to the 1996 Stock Option Plan for Officers and Employees of Astoria Financial Corporation. |
8. Options have been granted pursuant to the 1999 Stock Option Plan for Officers and Employees of Astoria Financial Corporation. |
9. This transaction is a correction of a reporting error. On the form submitted on May 6, 2003 the exercise of these shares was reported as an acquisition rather than a disposition. |
10. Mr. Redman gifted shares to his son Adam that were originally owned jointly and are now owned soley by Adam. This Gift of shares was not reported on the original form filed on May 6, 2003 in error. This transaction corrects this. |
Remarks: |
This Form 4 was originally filed on 05/06/03 and first amended on 05/12/03. Upon further review it was determined an additional amendment was needed to correct a clerical error on the derivative securities and to report gifted and transferred shares since this was the next filing of a form 4 following the gift and transfer. |
Monte N. Redman, by Alan P. Eggleston, attorney in fact | 11/20/2003 | |
** 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 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. |