Sec Form 4 Filing - CARPENTER JAMES J @ NEW YORK COMMUNITY BANCORP INC - 2018-03-16

Insider filing report for Changes in Beneficial Ownership
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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).
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
CARPENTER JAMES J
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)
Sr.EVP & Chief Lending Officer
(Last) (First) (Middle)
615 MERRICK AVENUE
3. Date of Earliest Transaction (MM/DD/YY)
03/16/2018
(Street)
WESTBURY, NY11590
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 03/16/2018 F 6,791 D $ 14.11 383,437 ( 1 ) D
Common Stock 02/27/2018 J( 2 ) V 163 A $ 14.1 13,708 ( 3 ) I By 401(k)
Common Stock 12/31/2017 J( 3 ) V 1,057 A $ 13.225 42,245 I By ESOP
Common Stock 16,166 I By IRA
Common Stock 35,778 I By Stock Award IX ( 4 )
Common Stock 11,323 I By Stock Award VII ( 5 )
Common Stock 22,112 I By Stock Award VIII ( 6 )
Common Stock 41,586 I By Stock Award X ( 7 )
Common Stock 69,734 I By Stock Award XI ( 8 )
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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 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
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
CARPENTER JAMES J
615 MERRICK AVENUE
WESTBURY, NY11590
Sr.EVP & Chief Lending Officer
Signatures
/s/ Salvatore J. DiMartino, Power of Attorney 03/20/2018
Signature of Reporting Person Date
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 )This form reflects an increase in beneficial ownership resulting from dividend reinvestment pursuant to Rule 16a-11.
( 3 )This form reflects increases in beneficial ownership resulting from exempt acquisitions pursuant to Rule 16b-3(c).
( 4 )The remaining 35,778 shares, granted under Stock Award IX on March 19, 2015 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest in three equal annual installments commencing on March 19, 2018.
( 5 )The remaining 11,323 shares, granted under Stock Award VII on March 19, 2013 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest on March 19, 2018.
( 6 )The remaining 22,112 shares, granted under Stock Award VIII on March 18, 2014 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest in two equal annual installments commencing on March 18, 2018.
( 7 )The remaining 41,586 shares, granted under Stock Award X on March 16, 2016 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest in three equal annual installments commencing on March 16, 2019.
( 8 )As authorized under a plan approved by the Board of Directors in March 2017, 69,734 shares granted under Stock Award XI on March 29, 2017 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan will vest in five approximately equal annual installments commencing on March 29, 2018.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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