Statement of Changes in Beneficial Ownership (4)
August 26 2016 - 8:35AM
Edgar (US Regulatory)
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
CARPENTER JAMES J
|
2. Issuer Name
and
Ticker or Trading Symbol
NEW YORK COMMUNITY BANCORP INC
[
NYCB
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Sr.EVP & Chief Lending Officer
|
(Last)
(First)
(Middle)
615 MERRICK AVENUE
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/19/2016
|
(Street)
WESTBURY, NY 11590
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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
|
8/19/2016
|
|
J
(1)
|
V
|
143.0000
|
A
|
$14.4117
|
12247.0000
|
I
|
By 401(k)
|
Common Stock
|
|
|
|
|
|
|
|
323232.0000
|
D
|
|
Common Stock
|
|
|
|
|
|
|
|
40329.0000
|
I
|
By ESOP
|
Common Stock
|
|
|
|
|
|
|
|
16166.0000
|
I
|
By IRA
|
Common Stock
|
|
|
|
|
|
|
|
47704.0000
|
I
|
By Stock Award IX
(2)
|
Common Stock
|
|
|
|
|
|
|
|
12115.0000
|
I
|
By Stock Award VI
(3)
|
Common Stock
|
|
|
|
|
|
|
|
22646.0000
|
I
|
By Stock Award VII
(4)
|
Common Stock
|
|
|
|
|
|
|
|
33169.0000
|
I
|
By Stock Award VIII
(5)
|
Common Stock
|
|
|
|
|
|
|
|
69310.0000
|
I
|
By Stock Award X
(6)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. 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
|
7. Title and Amount of Securities Underlying Derivative Security
(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
|
Explanation of Responses:
|
(
1)
|
This form reflects increases in beneficial ownership resulting from dividend reinvestment pursuant to Rule 16a-11.
|
(
2)
|
The remaining 47,704 shares, granted under Stock Award IX on March 19, 2015 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest in four equal annual installments commencing on March 19, 2017.
|
(
3)
|
The remaining 12,115 shares, granted under Stock Award VI on March 13, 2012 pursuant to the New York Community Bancorp, Inc. 2006 Stock Incentive Plan, will vest on March 13, 2017.
|
(
4)
|
The remaining 22,646 shares, granted under Stock Award VII on March 19, 2013 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest in two equal annual installments commencing on March 19, 2017.
|
(
5)
|
The remaining 33,169 shares, granted under Stock Award VIII on March 18, 2014 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest in three approximately equal annual installments commencing on March 18, 2017.
|
(
6)
|
As authorized under a plan approved by the Board of Directors in March 2015, 69,310 shares granted under Stock Award X on March 16, 2016 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan will vest in five equal annual installments commencing on March 16, 2017.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
CARPENTER JAMES J
615 MERRICK AVENUE
WESTBURY, NY 11590
|
|
|
Sr.EVP & Chief Lending Officer
|
|
Signatures
|
/s/ Ilene A. Angarola, Power of Attorney
|
|
8/26/2016
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
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).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
New York Community Bancorp (NYSE:NYCB)
Historical Stock Chart
From Mar 2024 to Apr 2024
New York Community Bancorp (NYSE:NYCB)
Historical Stock Chart
From Apr 2023 to Apr 2024