Sec Form 4 Filing - Pinto John J @ NEW YORK COMMUNITY BANCORP INC - 2021-03-16

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
Pinto John 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)
Senior EVP & CFO
(Last) (First) (Middle)
615 MERRICK AVENUE
3. Date of Earliest Transaction (MM/DD/YY)
03/16/2021
(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 03/16/2021 F 5,052 D $ 12.32 389,588 ( 1 ) D
Common Stock 03/17/2021 F 2,118 D $ 12.32 391,795 ( 1 ) D
Common Stock 31,786 ( 2 ) I By 401(k)
Common Stock 44,247 ( 2 ) I By ESOP
Common Stock 20,704 I By Stock Award XI ( 3 )
Common Stock 16,252 I By Stock Award XII ( 4 )
Common Stock 8,392 I By Stock Award XIII ( 5 )
Common Stock 8,649 I By Stock Award XIV ( 6 )
Common Stock 95,053 I By Stock Award XV ( 7 )
Common Stock 14,333 I By Stock Award XVI ( 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
Pinto John J
615 MERRICK AVENUE
WESTBURY, NY11590
Senior EVP & CFO
Signatures
/s/ Salvatore J. DiMartino, Power of Attorney 03/18/2021
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 increases in beneficial ownership resulting from dividend reinvestment pursuant to Rule 16a-11.
( 3 )The remaining 20,704 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 two equal annual installments commencing on March 29, 2021.
( 4 )The remaining 16,252 shares, granted under Stock Award XII on March 26, 2018 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest in three approximately equal annual installments commencing on March 26, 2021.
( 5 )The remaining 8,392 shares, granted under Stock Award XIII on April 29, 2019 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan will vest in two equal annual installments commencing on April 29, 2021.
( 6 )The remaining 8,649 shares, granted under Stock Award XIV on March 17, 2020 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan will vest in two approximately equal annual installments commencing on March 17, 2022.
( 7 )95,053 shares granted under Stock Award XV on January 12, 2021 pursuant to the New York Community Bancorp, Inc. 2020 Omnibus Incentive Plan. The shares will vest in five approximately equal annual installments commencing on January 12, 2022.
( 8 )14,333 shares granted under Stock Award XVI on February 26, 2021 pursuant to the New York Community Bancorp, Inc. 2020 Omnibus Incentive Plan. The shares will vest in three approximately equal annual installments commencing on February 26, 2022.

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