0001562180-16-003802.txt : 20161215
0001562180-16-003802.hdr.sgml : 20161215
20161215155024
ACCESSION NUMBER: 0001562180-16-003802
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161214
FILED AS OF DATE: 20161215
DATE AS OF CHANGE: 20161215
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: KEEGAN GERARD C
CENTRAL INDEX KEY: 0001210751
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11967
FILM NUMBER: 162053633
MAIL ADDRESS:
STREET 1: ONE ASTORIA BANK PLAZA
CITY: LAKE SUCCESS
STATE: NY
ZIP: 11042
4
1
primarydocument.xml
PRIMARY DOCUMENT
X0306
4
2016-12-14
false
0000910322
ASTORIA FINANCIAL CORP
AF
0001210751
KEEGAN GERARD C
ONE ASTORIA BANK PLAZA
LAKE SUCCESS
NY
US 11042
true
true
false
false
Vice Chairman, Sr EVP & COO
Common Stock
2016-12-14
4
J
false
17850.00
0.00
D
35700.00
I
RSA Vest
Common Stock
2016-12-14
4
F
false
6600.00
0.00
D
0.00
D
Common Stock
2016-12-14
4
J
false
11250.00
17.565
A
334834.00
D
Common Stock
43732.60
I
401(k)
Represents one-third vesting of a previous award of restricted stock pursuant to the 2014 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation, or the 2014 Plan. The restricted stock vested and was distributed on December 14, 2016. The transaction represents a change in the form of beneficial ownership from indirect to direct.
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: 17,850 shares on December 14, 2017 and 17,850 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.
Shares were withheld for taxes at vest.
Represents value of restricted stock at time of vesting and is the value of services rendered by the Reporting Person to the Issuer.
Represents shares held in the Employer Stock Fund of the Astoria Bank 401(k) Plan for the account of Mr. Keegan as of October 28, 2016. Shares are held in the 401(k) Plan Trust.
POWER OF ATTORNEY
I hereby authorize and designate Monte N. Redman,
Alan P. Eggleston, David J. DeBaun, Michele M. Weber,
Theodore S. Ayvas, Frank E. Fusco, Yvonne Schade,
Javier Evans, and Deborah J. Dusel, 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 not be affected by my subsequent
disability or incompetence.
Date: August 24, 2016
Gerard C. Keegan
Gerard C. Keegan by Deborah J. Dusel, attorney-in-fact
2016-12-15
EX-24
2
keeganpoa2016.txt
KEEGANPOA2016
POWER OF ATTORNEY
I hereby authorize and designate Monte N. Redman,
Alan P. Eggleston, David J. DeBaun, Michele M. Weber,
Theodore S. Ayvas, Frank E. Fusco, Yvonne Schade,
Javier Evans, and Deborah J. Dusel, 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 not be affected by my subsequent
disability or incompetence.
Date: August 24, 2016
Gerard C. Keegan