John Thomas Adams Form 4 NEW YORK COMMUNITY BANCORP / John Thomas Adams ownership change

SEC Form 4

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^*

Adams John Thomas

(Last)

(First)

(Middle)

615 MERRICK AVENUE

(Street)

WESTBURY

11590

(City)

(State)

(Zip)

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)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
EVP & CLO of Subsidiary

3. Date of Earliest Transaction (Month/Day/Year)
01/14/2020

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	01/14/2020		F		5,086	D	$11.69	52,120⁽¹⁾	D
Common Stock	01/14/2020		A		25,000	A	$0.0000	25,000	I	By Stock Award VI⁽²⁾
Common Stock								38,894	I	By ESOP
Common Stock								2,400	I	By Stock Award II⁽³⁾
Common Stock								4,800	I	By Stock Award III⁽⁴⁾
Common Stock								9,000	I	By Stock Award IV⁽⁵⁾
Common Stock								9,600	I	By Stock Award V⁽⁶⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

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. 25,000 shares granted under Stock Award VI on January 14, 2020 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan. The shares will vest in five equal annual installments commencing on January 14, 2021.

3. The remaining 2,400 shares, granted under Stock Award II on January 14, 2016 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest on January 14, 2021.

4. The remaining 4,800 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 two equal annual installments commencing on January 14, 2021.

5. The remaining 9,000 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 three equal annual installments commencing on January 14, 2021.

6. The remaining 9,600 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 four equal annual installments commencing on January 14, 2021.

	/s/ Salvatore J. DiMartino, Power of Attorney	01/16/2020
	** 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 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.

John Thomas Adams Form 4NEW YORK COMMUNITY BANCORP / John Thomas Adams ownership change