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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). (Print or Type Responses) |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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1. Name and Address of Reporting Person*
Ricca, Mark A.
(Last) (First) (Middle)
615 Merrick Avenue
(Street)
Westbury, NY 11590
(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol New York Community Bancorp, Inc. (NYB)
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6. Relationship of Reporting Person(s) to Issuer
(Check all applicable) Director
10% Owner
X Officer
Other
EVP, General Counsel and Corporate Secretary
7. 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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3. I.R.S. Identification
Number of Reporting Person, if an entity (voluntary) |
4. Statement for Month/Day/Year April 30, 2003
5. If Amendment,
Date of Original (Month/Day/Year) |
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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) |
2. Transaction Date
(Month/Day/Year) |
2A. Deemed
Execution Date, if any (Month/Day/Year) |
3. Transaction Code and Voluntary Code (Instr. 8) Code | V
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4. Securities Acquired (A) or Disposed (D) Of (Instr. 3, 4, and 5) Amount | A/D | Price
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5. Amount of
Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) |
6. Owner-
ship Form: Direct(D) or Indirect (I) (Instr. 4) |
7. Nature of
Indirect Beneficial Ownership (Instr. 4) |
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Common Stock
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04/30/2003
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M |
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5,250 | A | $15.370
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D
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Common Stock
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04/30/2003
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F |
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2,328 | D | $34.665
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30,631 |
D (1)
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Common Stock
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6,059 |
I
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By CFS Bank 401(k) (2)
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Common Stock
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9,418 |
I
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By ESOP (3)
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Common Stock
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5,279 |
I
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By NYCB 401(k) (3)
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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). |
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. |
(over)
SEC 1474 (9-02) |
| Ricca, Mark A. - April 30, 2003 |
| Form 4 (continued) |
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security
(Instr. 3) |
2. Conver-
sion or Exercise Price of Deri- vative Security |
3. Transaction
Date (Month/ Day/ Year) |
3A. Deemed
Execution Date, if any (Month/ Day/ Year) |
4. Transaction
Code and Voluntary (V) Code (Instr.8) Code | V
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5. Number of Derivative Securities Acquired (A) or Disposed (D) Of (Instr. 3,4 and 5) |
6. Date Exercisable(DE) and
Expiration Date(ED) (Month/Day/Year) (DE) | (ED)
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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 Transactions (Instr.4) |
10. Owner- ship Form of Deriv- ative Security: Direct (D) or Indirect (I) (Instr.4) |
11. Nature of Indirect Beneficial Ownership (Instr.4) |
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Incentive Stock Option (right to buy) |
$15.370 | 04/30/2003 |
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M |
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(D) 5,250 |
01/18/2003 (4) | 01/18/2010
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Common Stock - 5,250 |
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1,256 |
D
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Incentive Stock Option (right to buy) |
$11.060 |
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11/30/2000 (4) | 02/23/2008
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Common Stock - 8,066 |
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8,066 |
D
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Incentive Stock Option (right to buy) |
$15.370 |
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01/18/2004 (4) | 01/18/2010
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Common Stock - 6,506 |
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6,506 |
D
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Non-Qualified Stock Option (right to buy) |
$11.060 |
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11/30/2000 (4) | 02/23/2008
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Common Stock - 18,499 |
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18,499 |
D
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Non-Qualified Stock Option (right to buy) |
$15.370 |
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01/18/2002 (4) | 01/18/2010
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Common Stock - 4,744 |
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4,744 |
D
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Non-Qualified Stock Option (right to buy) |
$15.370 |
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01/18/2003 (4) | 01/18/2010
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Common Stock - 4,744 |
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4,744 |
D
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Non-Qualified Stock Option (right to buy) |
$15.370 |
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01/18/2004 (4) | 01/18/2010
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Common Stock - 4,744 |
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4,744 |
D
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Non-Qualified Stock Option (right to buy) |
$22.230 |
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12/21/2002 (5) | 12/21/2011
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Common Stock - 15,000 |
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15,000 |
D
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Non-Qualified Stock Option (right to buy) |
$24.610 |
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07/24/2003 (6) | 07/24/2012
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Common Stock - 30,000 |
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30,000 |
D
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Non-Qualified Stock Option (right to buy) |
$28.540 |
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01/21/2004 (7) | 01/21/2013
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Common Stock - 60,000 |
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60,000 |
D
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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). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. |
/s/ Mark A. Ricca 05-02-2003 ** Signature of Reporting Person Date Page 2
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| Ricca, Mark A. - April 30, 2003 |
| Form 4 (continued) |
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FOOTNOTE Descriptions for New York Community Bancorp, Inc. (NYB) Form 4 - April 2003 Mark A. Ricca
615 Merrick Avenue Westbury, NY 11590 Explanation of responses: (1) Since the reporting person's last report 780 shares previously held by Stock Incentive Plan have vested and are now owned directly. (2) Represents shares purchased through the CFS Bank 401(k) Plan, which New York Community Bank was successor to under the Haven Bancorp, Inc. acquisition. (3) This form reflects increases in beneficial ownership resulting from exempt acquisitions under an Employee Stock Ownership Plan ("ESOP") and 401(k) Plan pursuant to Rule 16b-3(c). (4) Options to purchase shares granted under the Haven Bancorp, Inc. 1996 Stock Option Plan. (5) Options granted under the New York Community Bancorp, Inc. 1997 Stock Option Plan that vest in three equal annual installments beginning on December 21, 2002. (6) Options granted pursuant to the New York Community Bancorp, Inc. 1997 Stock Option Plan vest in three equal annual installments commencing on July 24, 2003. (7) Options granted pursuant to the New York Community Bancorp, Inc. 1997 Stock Option Plan vest in three equal annual installments commencing on January 21, 2004. |
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