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*
CANGEMI THOMAS R

(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)
X Director 10% Owner
X Officer (give title below) Other (specify below)
President & CEO
3. Date of Earliest Transaction (Month/Day/Year)
03/16/2021
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 03/16/2021 F 7,420 D $12.32 950,521(1) D
Common Stock 03/17/2021 F 3,131 D $12.32 953,783(1) D
Common Stock 91,791 I By 401(k)
Common Stock 41,352 I By ESOP
Common Stock 58,394 I By IRA
Common Stock 1,941 I By Spouse
Common Stock 30,625 I By Stock Award XI(2)
Common Stock 24,018 I By Stock Award XII(3)
Common Stock 12,405 I By Stock Award XIII(4)
Common Stock 12,786 I By Stock Award XIV(5)
Common Stock 290,980 I By Stock Award XV(6)
Common Stock 37,674 I By Stock Award XVI(7)
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. The number of shares held directly includes certain shares that were previously held by Stock Awards and that have subsequently vested.
2. The remaining 30,625 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 approximately equal annual installments commencing on March 29, 2021.
3. The remaining 24,018 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 equal annual installments commencing on March 26, 2021.
4. The remaining 12,405 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 approximately equal annual installments commencing on April 29, 2021.
5. The remaining 12,786 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 equal annual installments commencing on March 17, 2022.
6. 290,980 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 equal annual installments commencing on January 12, 2022.
7. 37,674 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 equal annual installments commencing on February 26, 2022.
/s/ Salvatore J. DiMartino, Power of Attorney 03/18/2021
** 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.
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.