0001562180-16-002713.txt : 20160701
0001562180-16-002713.hdr.sgml : 20160701
20160701093000
ACCESSION NUMBER: 0001562180-16-002713
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160630
FILED AS OF DATE: 20160701
DATE AS OF CHANGE: 20160701
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: 0319
BUSINESS ADDRESS:
STREET 1: ONE ASTORIA BANK PLAZA
CITY: LAKE SUCCESS
STATE: NY
ZIP: 11042-1085
BUSINESS PHONE: 5163273000
MAIL ADDRESS:
STREET 1: ONE ASTORIA BANK PLAZA
CITY: LAKE SUCCESS
STATE: NY
ZIP: 11042-1085
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: REDMAN MONTE N
CENTRAL INDEX KEY: 0001210755
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11967
FILM NUMBER: 161745005
MAIL ADDRESS:
STREET 1: ONE ASTORIA BANK PLAZA
CITY: LAKE SUCCESS
STATE: NY
ZIP: 11042
4
1
primarydocument.xml
PRIMARY DOCUMENT
X0306
4
2016-06-30
false
0000910322
ASTORIA FINANCIAL CORP
AF
0001210755
REDMAN MONTE N
ONE ASTORIA BANK PLAZA
LAKE SUCCESS
NY
US 11042
true
true
false
false
President and CEO
Common Stock
9591.66
I
Spouse
Common Stock
92557.13
I
401(k)
Common Stock
2016-06-30
4
J
false
65000.00
0.00
D
0.00
I
RSA
Common Stock
17140.00
I
RSA
Common Stock
65760.00
I
RSA
Common Stock
748997.40
D
Includes shares acquired pursuant to the Astoria Financial Corporation Dividend Reinvestment Stock Purchase Plan which are exempt from the operation of Section 16 of the Securities Exchange Act of 1934 that are held by Mr. Redman's spouse.
Represents shares held in the Employer Stock Fund of the Astoria Bank 401(k) Plan for the account of Mr. Redman as of March 31, 2016. Shares are held in the 401(k) Plan Trust.
Represents cancellation of performance-based Restricted Stock effective June 30, 2016 pursuant to the 2005 Re-Designated, Amended and Restated Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation. The vesting and performance period of the grant was five years. Shares and related dividends were cancelled due to performance targets not achieved in accordance with the terms and conditions of the grant.
Represents award of restricted stock dated April 27, 2015 pursuant to the 2014 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2014 Plan). The shares of restricted stock will vest as follows: 17,140 shares on December 14, 2017 or if earlier, upon the death, Disability or Change in Control (as such terms are defined in the 2014 Plan) or pursuant to the terms of his employment agreements with the Company and Astoria Bank (the Bank) upon his termination of employment by the Company or the Bank prior to the end of the term of such employment agreements without Cause, as defined therein.
Represents award of restricted stock dated February 1, 2016 pursuant to the 2014 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2014 Plan). The shares of restricted stock will vest as follows: 21,920 shares on December 14, 2016, 21,920 shares on December 14, 2017 and 21,920 shares on December 14, 2018 or if earlier, upon the death, Disability or Change in Control (as such terms are defined in the 2014 Plan) or pursuant to the terms of his employment agreements with the Company and Astoria Bank (the Bank) upon his termination of employment by the Company or the Bank prior to the end of the term of such employment agreements without Cause, as defined therein.
Includes shares acquired pursuant to the Astoria Financial Corporation Automatic Dividend Reinvestment Stock Purchase Plan which are exempt from the operation of Section 16 of the Securities Exchange Act of 1934 and are beneficially owned directly by Mr. Redman.
POWER OF ATTORNEY I hereby authorize and designate Alan P. Eggleston, David J. DeBaun, Michele M. Weber, Theodore S. Ayvas, Frank E. Fusco, and Yvonne Schade, or any one of them acting as agent and attorney-in-fact, with full power of substitution, to: (1) prepare and sign on my behalf any Form 3, Form 4 or Form 5 pursuant to Section 16 of the Securities Exchange Act of 1934, as amended, and file the same with the Securities Exchange Commission, NYSE, and each stock exchange on which Astoria Financial Corporation's common stock or other securities are listed, as required by law; (2) prepare and sign on my behalf any Form 144 pursuant to the Securities Act of 1933, as amended, and file the same with the Securities Exchange Commission, NYSE, and each stock exchange on which Astoria Financial Corporation's common stock or other securities are listed, as required by law; and (3) do anything else necessary or proper in connection with the foregoing. This Power of Attorney shall remain in effect as long as I am an affiliate of Astoria Financial Corporation, and shall not be affected by my subsequent disability or incompetence. Date: August 26, 2015 Monte N. Redman
Monte N. Redman by Yvonne Schade, attorney-in-fact
2016-07-01