| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 01/01/2020 | 3. Issuer Name and Ticker or Trading Symbol NEW YORK COMMUNITY BANCORP INC [ NYCB ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. 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 Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 45,006 | D | |
| Common Stock | 38,894 | I | By ESOP |
| Common Stock | 2,000 | I | By Stock Award(1) |
| Common Stock | 4,800 | I | By Stock Award II(2) |
| Common Stock | 7,200 | I | By Stock Award III(3) |
| Common Stock | 12,000 | I | By Stock Award IV(4) |
| Common Stock | 12,000 | I | By Stock Award V(5) |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Explanation of Responses: |
| 1. The remaining 2,000 shares, granted under Stock Award on January 14, 2015 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest on January 14, 2020. |
| 2. The remaining 4,800 shares, granted under Stock Award II on January 14, 2016 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest in two equal annual installments commencing on January 14, 2020. |
| 3. The remaining 7,200 shares, granted under Stock Award III on January 14, 2017 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest in three equal annual installments commencing on January 14, 2020. |
| 4. The remaining 12,000 shares, granted under Stock Award IV on January 14, 2018 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest in four equal annual installments commencing on January 14, 2020. |
| 5. As authorized under a plan approved by the Board of Directors in January 2019, 12,000 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 five equal annual installments commencing on January 14, 2020. |
| Remarks: |
| Exhibit List: Exhibit 24 Power of Attorney |
| /s/ Salvatore J. DiMartino, Power of Attorney | 01/13/2020 | |
| ** 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 5 (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. | ||
