0001562180-17-003124.txt : 20171003
0001562180-17-003124.hdr.sgml : 20171003
20171003100643
ACCESSION NUMBER: 0001562180-17-003124
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20171002
FILED AS OF DATE: 20171003
DATE AS OF CHANGE: 20171003
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Fusco Frank E
CENTRAL INDEX KEY: 0001410082
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11967
FILM NUMBER: 171116363
MAIL ADDRESS:
STREET 1: ONE ASTORIA BANK 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 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
4
1
primarydocument.xml
PRIMARY DOCUMENT
X0306
4
2017-10-02
true
0000910322
ASTORIA FINANCIAL CORP
AF
0001410082
Fusco Frank E
ONE ASTORIA BANK PLAZA
LAKE SUCCESS
NY
US 11042
false
true
false
false
Former Sr. Exec VP and CFO
Common Stock
2017-10-02
4
D
false
26000.00
D
0.00
I
RSU
Common Stock
2017-10-02
4
D
false
8650.00
D
0.00
I
RSA
Common Stock
2017-10-02
4
D
false
34040.00
D
0.00
I
RSA
Common Stock
2017-10-02
4
D
false
41880.00
D
0.00
I
RSA
Common Stock
2017-10-02
4
D
false
362455.00
D
0.00
D
Common Stock
2017-10-02
4
D
false
58854.70
D
0.00
I
401(k)
Common Stock
2017-10-02
4
D
false
1200.00
D
0.00
I
Spouse
Disposed of pursuant to the merger agreement between the Issuer and Sterling Bancorp ("Sterling"), dated March 6, 2017 (the "Merger Agreement"), pursuant to which the Issuer was merged with and into Sterling on October 2, 2017 (the "Effective Time"). Pursuant to the Merger Agreement, as of the Effective Time, (i) each issued and outstanding share of the Issuer's common stock was converted into the right to receive 0.875 of a share of Sterling common stock and cash in lieu of fractional shares (the "Merger Consideration"), and (ii) each outstanding restricted stock award and restricted stock unit award fully vested and was cancelled and converted automatically into the right to receive the Merger Consideration in respect of each share of the Issuer's common stock underlying such award, less applicable tax withholdings.
As of the Effective Time, the Sterling common stock had a market value of $24.85 per share. As a result of the merger, the Reporting Person no longer beneficially owns directly or indirectly any shares of the Issuer's common stock.
Represents award of restricted stock units dated April 27, 2015 pursuant to the 2014 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the "2014 Plan").
Represents award of restricted stock dated April 27, 2015 pursuant to the 2014 Plan.
Represents award of restricted stock dated February 1, 2016 pursuant to the 2014 Plan.
Represents award of restricted stock dated March 22, 2017 pursuant to the 2014 Plan.
Represents shares held in the Employer Stock Fund of the Astoria Bank 401(k) Plan for the account of the Reporting Person as of October 2, 2017.
Shares are held by Mr. Fusco's spouse.
POWER OF ATTORNEY
I hereby authorize and designate Monte N. Redman,
Alan P. Eggleston, David J. DeBaun, Michele M. Weber,
Theodore S. Ayvas, 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
Frank E. Fusco
Frank E. Fusco by Deborah J. Dusel, attorney-in-fact
2017-10-03
EX-24
2
fuscopoa2016.txt
FUSCOPOA2016
POWER OF ATTORNEY
I hereby authorize and designate Monte N. Redman,
Alan P. Eggleston, David J. DeBaun, Michele M. Weber,
Theodore S. Ayvas, 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
Frank E. Fusco