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*
Pinto John J

(Last) (First) (Middle)
615 MERRICK AVENUE

(Street)
WESTBURY NY 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 & Chief Financial Officer
3. Date of Earliest Transaction (Month/Day/Year)
02/26/2021
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)
Code V Amount (A) or (D) Price
Common Stock 02/26/2021 A 13,333 A $0.0000 13,333 I By Stock Award XVI(1)
Common Stock 384,325 D
Common Stock 31,307 I By 401(k)
Common Stock 43,580(2) I By ESOP
Common Stock 10,315 I By Stock Award X(3)
Common Stock 20,704 I By Stock Award XI(4)
Common Stock 16,252 I By Stock Award XII(5)
Common Stock 8,392 I By Stock Award XIII(6)
Common Stock 12,974 I By Stock Award XIV(7)
Common Stock 95,053 I By Stock Award XV(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 (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. 13,333 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.
2. This form reflects an increase in beneficial ownership resulting from an exempt acquisition pursuant to Rule 16b-3(c).
3. The remaining 10,315 shares, granted under Stock Award X on March 16, 2016 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan, will vest on March 16, 2021.
4. 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.
5. 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.
6. 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.
7. 12,974 shares granted under Stock Award XIV on March 17, 2020 pursuant to the New York Community Bancorp, Inc. 2012 Stock Incentive Plan. The shares will vest in three approximately equal annual installments commencing on March 17, 2021.
8. 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, 2021.
/s/ Salvatore J. DiMartino, Power of Attorney 03/02/2021
** 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.
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