XNYS:AF Astoria Financial Corporation Insider Activity 4 Filing - 1/9/2012

Effective Date 1/9/2012

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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT 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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(Print or Type Responses)
1. Name and Address of Reporting Person *
ENGELKE GEORGE L JR
  2. Issuer Name and Ticker or Trading Symbol
ASTORIA FINANCIAL CORP [AF]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chairman of the Board
(Last)
(First)
(Middle)
ONE ASTORIA FEDERAL PLAZA
3. Date of Earliest Transaction (Month/Day/Year)
01/09/2012
(Street)

LAKE SUCCESS, NY US 11042
4. If Amendment, Date Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
(City)
(State)
(Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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               6,000 I(1) Spouse
Common Stock               47,040.22 I(2) ESOP
Common Stock               39,664.09 I(3) 401(k)
Common Stock               36,290 I(5) RSA
Common Stock               9,940 I(6) RSA
Common Stock 01/09/2012   J   42,800 D $ 0 0 I(4) RSA Vest
Common Stock 01/10/2012   F   1,200 D $9.27 0 D(10)  
Common Stock 01/10/2012   F   100 D $9.2706 0 D(10)  
Common Stock 01/10/2012   F   400 D $9.275 0 D(10)  
Common Stock 01/10/2012   F   2,200 D $9.28 0 D(10)  
Common Stock 01/10/2012   F   900 D $9.285 0 D(10)  
Common Stock 01/10/2012   F   500 D $9.29 0 D(10)  
Common Stock 01/10/2012   F   100 D $9.293 0 D(10)  
Common Stock 01/10/2012   F   1,200 D $9.295 0 D(10)  
Common Stock 01/10/2012   F   4,200 D $9.3 0 D(10)  
Common Stock 01/10/2012   F   300 D $9.3001 0 D(10)  
Common Stock 01/10/2012   F   100 D $9.3002 0 D(10)  
Common Stock 01/10/2012   F   400 D $9.3003 0 D(10)  
Common Stock 01/10/2012   F   200 D $9.3004 0 D(10)  
Common Stock 01/10/2012   F   100 D $9.3006 0 D(10)  
Common Stock 01/10/2012   F   1,500 D $9.305 0 D(10)  
Common Stock 01/10/2012   F   800 D $9.31 0 D(10)  
Common Stock 01/10/2012   F   1,230 D $9.32 0 D(10)  
Common Stock 01/10/2012   F   200 D $9.3203 0 D(10)  
Common Stock 01/10/2012   F   1 D $9.44 0 D(10)  
Common Stock 01/09/2012   J   27,169 A $9.1875(11) 1,393,657 D(4)  

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Incentive Stock Option(7) $18             01/10/2006 12/17/2012 Common Stock 5,554   5,554 D  
Non-Statutory Stock Option(7) $18             01/10/2006 12/17/2012 Common Stock 399,446   399,446 D  
Non-Statutory Stock Option(8) $24.4             12/22/2005 12/16/2013 Common Stock 4,098   4,098 D  
Non-Statutory Stock Option(8) $24.4             12/22/2005 12/16/2013 Common Stock 310,902   310,902 D  
Non-Statutory Stock Option(8) $26.6267             12/22/2005 12/14/2014 Common Stock 3,754   3,754 D  
Non-Statutory Stock Option(8) $26.6267             12/22/2005 12/14/2014 Common Stock 393,746   393,746 D  
Non-Statutory Stock Option(9) $29.02             01/09/2009 12/20/2012 Common Stock 345,000   345,000 D  

Reporting Owners

Reporting Owner Name / Address Relationships
 Director  10% Owner  Officer  Other
ENGELKE GEORGE L JR
ONE ASTORIA FEDERAL PLAZA
LAKE SUCCESS, NY US 11042
  X     Chairman of the Board  

Signatures

 George L. Engelke, Jr.   01/11/2012
** Signature of Reporting Person Date

Explanation of Responses:

* 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) Shares are held by Mr. Engelke Jr.'s spouse.
(2) Represents shares allocated to Mr. Engelke Jr.'s account under the Astoria Federal Savings and Loan Association Employee Stock Ownership Plan ("ESOP") as of December 31, 2011 and held in the ESOP Trust.
(3) Represents shares held in the Employer Stock Fund of the Astoria Incentive Savings Plan ("401(k) Plan") for the account of Mr. Engelke, Jr. as of December 31, 2011. Shares are held in the 401(k) Plan Trust.
(4) Represents 100% vesting of a previous award of restricted stock pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation, or the 2005 Plan. The restricted stock vested and was distributed on 1/9/2012. The transaction represents a change in the form of beneficial ownership from indirect to direct.
(5) Represents award of restricted stock dated February 1, 2010 pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2005 Plan). The shares of restricted stock will vest as follows: 36,290 shares on December 14, 2012 or, if earlier, upon the death, Disability or Change in Control (as such terms are defined in the 2005 Plan) or, pursuant to the terms of his employment agreements with the Company and Astoria Federal Savings and Loan Association (the Association), upon his termination of employment by the Company or the Association prior to the end of the term of such employment agreements without Cause, as defined therein.
(6) Represents award of restricted stock dated January 31, 2011 pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation (the 2005 Plan). The shares of restricted stock will vest as follows: 4,970 shares on December 14, 2012 and 4,970 shares on November 15, 2013 or, if earlier, upon the death, Disability or Change in Control (as such terms are defined in the 2005 Plan) or, pursuant to the terms of his employment agreements with the Company and Astoria Federal Savings and Loan Association (the Association), upon his termination of employment by the Company or the Association prior to the end of the term of such employment agreements without Cause, as defined therein.
(7) Options were granted pursuant to the 1999 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 1999 Plan.
(8) Options were granted pursuant to the 2003 Stock Option Plan for Officers and Employees of Astoria Financial Corporation, or the 2003 Plan.
(9) Options were granted pursuant to the 2005 Stock Incentive Plan for Officers and Employees of Astoria Financial Corporation, or the 2005 Plan.
(10) In accordance with a Rule 10b5-1 Sales Plan, shares were sold for taxes at vest.
(11) Represents value of restricted stock at time of vesting and is the value of services rendered by the Reporting Person to the Issuer.

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