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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 8.6475 | 01/18/2004(4) | 01/18/2011 | Common Stock | 11,564 | 11,564 | D | ||||||||
Stock Option (right to buy) | $ 12.5025 | 12/21/2003(5) | 12/21/2011 | Common Stock | 19,844 | 19,844 | D | ||||||||
Stock Option (right to buy) | $ 13.845 | 07/24/2004(6) | 07/24/2012 | Common Stock | 35,556 | 35,556 | D | ||||||||
Stock Option (right to buy) | $ 16.0575 | 01/21/2004(7) | 01/21/2013 | Common Stock | 14,222 | 14,222 | D | ||||||||
Stock Option (right to buy) | $ 16.0575 | 12/30/2005(8) | 01/21/2013 | Common Stock | 7,111 | 7,111 | D | ||||||||
Stock Option (right to buy) | $ 23.4975 | 09/16/2004(9) | 09/16/2013 | Common Stock | 13,333 | 13,333 | D | ||||||||
Stock Option (right to buy) | $ 23.4975 | 12/30/2005(10) | 09/16/2013 | Common Stock | 6,667 | 6,667 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CARPENTER JAMES J 615 MERRICK AVENUE WESTBURY, NY 11590 |
Sr.EVP & Chief Lending Officer |
By: Ilene A. Angarola, Power of Attorney | 08/21/2007 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | This form reflects increases in beneficial ownership resulting from exempt acquisitions pursuant to Rule 16b-3(c). |
(2) | This form reflects an increase in beneficial ownership resulting from dividend reinvestment pursuant to Rule 16a-11. |
(3) | Stock Awards granted pursuant to the New York Community Bancorp, Inc. 2006 Stock Incentive Plan vest in two equal annual installments commencing on April 2, 2008. |
(4) | Stock Options granted pursuant to the 1996 Haven Stock Option Plan are fully vested and exercisable as of January 18, 2004. |
(5) | Stock Options granted pursuant to the New York Community Bancorp, Inc. 1997 Stock Option Plan vest in equal installments beginning on December 21, 2003 and were fully vested and exercisable as of December 21, 2004. |
(6) | Stock Options granted pursuant to the New York Community Bancorp, Inc. 1997 Stock Option Plan vest in equal installments beginning on July 24, 2004 and were fully vested and exercisable as of July 24, 2005. |
(7) | Stock Options granted pursuant to the New York Community Bancorp, Inc. 1997 Stock Option Plan vest in equal installments beginning on January 21, 2004 and were fully vested and are exercisable as of January 21, 2005. |
(8) | Stock Options granted pursuant to the New York Community Bancorp, Inc. 1997 Stock Option Plan were fully exercisable as of December 30, 2005. |
(9) | Stock Options granted pursuant to the 1993 Haven Stock Option Plan vest in equal installments beginning on September 16, 2004 and were fully vested and are exercisable as of September 16, 2005. |
(10) | Stock Options granted pursuant to 1993 Haven Stock Option Plan were fully exercisable as of December 30, 2005. |