Statement of Changes in Beneficial Ownership (4)
14 April 2022 - 11:41PM
Edgar (US Regulatory)
FORM 4
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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
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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
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Adams John Thomas |
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)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Senior EVP & CLO |
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(Last)
(First)
(Middle)
102 DUFFY AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/13/2022 |
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(Street)
HICKSVILLE, NY 11801
(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 | 4/13/2022 | | A | | 14866.0000 | A | $0.0000 | 14866.0000 | I | By Stock Award VIII (1) |
| Common Stock | | | | | | | | 69641.0000 | D | |
| Common Stock | | | | | | | | 40129.0000 | I | By 401(k) |
| Common Stock | | | | | | | | 3000.0000 | I | By Stock Award IV (2) |
| Common Stock | | | | | | | | 4800.0000 | I | By Stock Award V (3) |
| Common Stock | | | | | | | | 15000.0000 | I | By Stock Award VI (4) |
| Common Stock | | | | | | | | 7507.0000 | I | By Stock Award VII (5) |
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) | 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) | 14,866 shares granted under Stock Award VIII on April 13, 2022 pursuant to the New York Community Bancorp, Inc. 2020 Omnibus Incentive Plan. The shares will vest in three approximately equal annual installments commencing on April 13, 2023. |
| (2) | The remaining 3,000 shares, granted under Stock Award IV on January 14, 2018 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest on January 14, 2023. |
| (3) | The remaining 4,800 shares, granted under Stock Award V on January 14, 2019 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest in two equal annual installments commencing on January 14, 2023. |
| (4) | The remaining 15,000 shares, granted under Stock Award VI on January 14, 2020 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest in three equal annual installments commencing on January 14, 2023. |
| (5) | The remaining 7,507 shares, granted under Stock Award VII on February 26, 2021 pursuant to the New York Community Bancorp, Inc. 2020 Omnibus Incentive Plan, will vest in two approximately equal annual installments commencing on February 26, 2023. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Adams John Thomas
102 DUFFY AVENUE
HICKSVILLE, NY 11801 |
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| Senior EVP & CLO |
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Signatures
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| /s/ Salvatore J. DiMartino, Power of Attorney | | 4/14/2022 |
| **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. |
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