Statement of Changes in Beneficial Ownership (4)
2013年5月24日 - 2:32AM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
FICALORA JOSEPH R
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2. Issuer Name
and
Ticker or Trading Symbol
NEW YORK COMMUNITY BANCORP INC
[
NYCB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President & CEO
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(Last)
(First)
(Middle)
615 MERRICK AVENUE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/17/2013
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(Street)
WESTBURY, NY 11590
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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5/17/2013
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J
(1)
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V
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8789.0000
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A
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$13.8409
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495338.0000
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I
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By 401(k)
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Common Stock
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5/20/2013
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J
(1)
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V
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8316.0000
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A
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$13.9550
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472524.0000
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I
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By ESOP
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Common Stock
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5/17/2013
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J
(1)
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V
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14354.0000
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A
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$13.7457
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803587.0000
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I
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By SERP
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Common Stock
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2582343.0000
(2)
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D
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Common Stock
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300863.0000
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I
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By Ficalora Family Foundation
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Common Stock
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25000.0000
(2)
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I
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By Stock Award III
(3)
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Common Stock
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60000.0000
(2)
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I
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By Stock Award IV
(4)
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Common Stock
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90000.0000
(2)
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I
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By Stock Award V
(5)
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Common Stock
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161540.0000
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I
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By Stock Award VI
(6)
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Common Stock
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257700.0000
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I
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By Stock Award VII
(7)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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This form reflects increases in beneficial ownership resulting from dividend reinvestment pursuant to Rule 16a-11.
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(
2)
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Since the reporting person's last report 15,000 shares, 25,000 shares, 30,000 shares and 30,000 shares previously held by Stock Award II, Stock Award III, Stock Award IV and Stock Award V, respectively, have vested and are now owned directly.
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(
3)
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The remaining 25,000 shares, granted under Stock Award III on April 28, 2009 pursuant to the New York Community Bancorp, Inc. 2006 Stock Incentive Plan, will vest on April 28, 2014.
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(
4)
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The remaining 60,000 shares, granted under Stock Award IV on March 31, 2010 pursuant to the New York Community Bancorp, Inc. 2006 Stock Incentive Plan, will vest in two equal annual installments commencing on March 31, 2014.
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(
5)
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The remaining 90,000 shares, granted under Stock Award V on March 25, 2011 pursuant to the New York Community Bancorp, Inc. 2006 Stock Incentive Plan, will vest in three equal annual installments commencing on March 25, 2014.
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(
6)
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The remaining 161,540 shares, granted under Stock Award VI on March 13, 2012 pursuant to the New York Community Bancorp, Inc. 2006 Stock Incentive Plan, will vest in four equal annual installments commencing on March 13, 2014.
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(
7)
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257,700 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 five equal annual installments commencing on March 19, 2014.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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FICALORA JOSEPH R
615 MERRICK AVENUE
WESTBURY, NY 11590
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X
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President & CEO
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Signatures
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/s/ Ilene A. Angarola, Power of Attorney
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5/23/2013
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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