| FORM 4 | 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 or Section 30(h) of the Investment Company Act of 1940 |
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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). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
| 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)
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| 3. Date of Earliest Transaction (Month/Day/Year) 01/14/2022 | ||||||||||||||||||||||||||
| 4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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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 (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 | 01/14/2022 | F | 3,638 | D | $13.26 | 41,166(1) | D | |||
| Common Stock | 36,840(2) | I | By 401(k) | |||||||
| Common Stock | 2,000 | I | By Stock Award II(3) | |||||||
| Common Stock | 4,800 | I | By Stock Award III(4) | |||||||
| Common Stock | 4,500 | I | By Stock Award IV(5) | |||||||
| Common Stock | 12,000 | I | By Stock Award V(6) | |||||||
| Common Stock | 11,072 | I | By Stock Award VI(7) | |||||||
| 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. 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 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: 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. The number of shares held directly includes certain shares that were previously held by Stock Awards and that have subsequently vested. |
| 2. The New York Community Bancorp, Inc. Employee Stock Ownership Plan (the "ESOP") was merged with and into the New York Community Bancorp, Inc. Employee Savings Plan, (the "401(k) Plan") and all assets of the ESOP were transferred to the 401(k) Plan. This transaction is exempt pursuant to Rule 16a-13. |
| 3. The remaining 2,000 shares, granted under Stock Award II on January 14, 2018 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest on January 14, 2023. |
| 4. The remaining 4,800 shares, granted under Stock Award III 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. |
| 5. The remaining 4,500 shares, granted under Stock Award IV 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. |
| 6. 12,000 shares granted under Stock Award V on January 14, 2021 pursuant to the New York Community Bancorp, Inc. 2020 Omnibus Incentive Plan, will vest in four equal annual installments commencing on January 14, 2023. |
| 7. 11,072 shares granted under Stock Award VI on February 26, 2021 pursuant to the New York Community Bancorp, Inc. 2020 Omnibus Incentive Plan, will vest in three approximately equal annual installments commencing on February 26, 2022. |
| /s/ Salvatore J. DiMartino, Power of Attorney | 01/18/2022 | |
| ** 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 Number. | ||
