# EDGAR Filing Document

**Accession Number:** 0000910073
**File Stem:** 0001193125-23-087985
**Filing Date:** 2023-3
**Character Count:** 6078
**Document Hash:** 9ba42eb839be8b94b2c8b02fd67b8993
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-087985.hdr.sgml**: 20230331

**ACCESSION NUMBER**: 0001193125-23-087985

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20230331

**ITEM INFORMATION**: Unregistered Sales of Equity Securities

**FILED AS OF DATE**: 20230331

**DATE AS OF CHANGE**: 20230331

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** NEW YORK COMMUNITY BANCORP INC
- **CENTRAL INDEX KEY:** 0000910073
- **STANDARD INDUSTRIAL CLASSIFICATION:** SAVINGS INSTITUTIONS, NOT FEDERALLY CHARTERED [6036]
- **IRS NUMBER:** 061377322
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-31565
- **FILM NUMBER:** 23787409

**BUSINESS ADDRESS:**
- **STREET 1:** 102 DUFFY AVENUE
- **CITY:** HICKSVILLE
- **STATE:** NY
- **ZIP:** 11801
- **BUSINESS PHONE:** 5166834100

**MAIL ADDRESS:**
- **STREET 1:** 102 DUFFY AVENUE
- **CITY:** HICKSVILLE
- **STATE:** NY
- **ZIP:** 11801

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** QUEENS COUNTY BANCORP INC
- **DATE OF NAME CHANGE:** 19930802

?xml version="1.0" encoding="utf-8" ? 8-K

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### UNITED STATES

### SECURITIES AND EXCHANGE COMMISSION

#### Washington, D.C. 20549

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### FORM 8-K

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#### CURRENT REPORT

#### Pursuant to Section 13 or 15(d)

#### of the Securities Exchange Act of 1934

#### Date of Report (Date of earliest event reported): March 31, 2023

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## NEW YORK COMMUNITY BANCORP, INC.

#### (Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Delaware** | **001-31565** | **06-1377322** |
| **(State or other jurisdiction**<br> **of incorporation)** | **(Commission**<br> **File Number)** | **(IRS Employer**<br> **Identification Number)** |

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#### 102 Duffy Avenue, Hicksville, New York 11801

#### (Address of principal executive offices)
(516) 683-4100

#### (Registrant's telephone number, including area code)

#### Not applicable

#### (Former name or former address, if changed since last report)

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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2 below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading<br>symbol(s)** | **Name of each exchange<br>on which registered** |
| Common Stock, $0.01 par value per share | NYCB | New York Stock Exchange |
| Bifurcated Option Note Unit SecuritiES SM | NYCB PU | New York Stock Exchange |
| Fixed-to-Floating Rate Series A Noncumulative Perpetual Preferred Stock, $0.01 par value | NYCB PA | New York Stock Exchange |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (Section 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (Section 240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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#### Item 3.02. Unregistered Sales of Equity Securities.
As part of the consideration associated with the assumption of certain of the deposits and certain other identified liabilities, and acquisition of certain assets, of Signature Bridge Bank, N.A. ("Signature Bridge Bank") by Flagstar Bank, N.A., a wholly owned subsidiary of New York Community Bancorp, Inc. (the "Company"), from the Federal Deposit Insurance Corporation, as receiver for Signature Bridge Bank (the "FDIC Receiver"), the Company issued to the FDIC Receiver an Equity Appreciation Instrument (the "EAI"). The transaction with the FDIC Receiver and the issuance of the EAI were previously reported in the Company's Current Report on Form 8-K filed on March 20, 2023.

On March 31, 2023, in connection with the exercise of the EAI by the FDIC Receiver, the Company issued to the FDIC Receiver 39,032,006 shares of the Company's common stock pursuant to the EAI. The Company did not receive any additional proceeds for the shares, which were issued in a private placement conducted pursuant to Section 4(a)(2) of the Securities Act of 1933, as amended, and Regulation D promulgated thereunder. The exemption is available to the Company because the issuance did not involve any public offering.

The FDIC Receiver agreed to not transfer such shares of Company common stock it acquired ("Subject Stock") until April 28, 2023 and will use all reasonable efforts to sell all Subject Stock by no later than the fortieth day after April 28, 2023. To the extent that the FDIC Receiver is unable to sell the Subject Stock by such 40-day period, the Signature Bank Receiver and the Company agree to use reasonable efforts to complete the sale as promptly as practical after the end of such 40-day period. The Company has granted the FDIC Receiver registration rights to facilitate the sale of the Subject Stock.

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#### SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | |
|:---|:---|
| Date: March 31, 2023 | NEW YORK COMMUNITY BANCORP, INC. |
|  | /s/ Salvatore J. DiMartino |
|  | Name: Salvatore J. DiMartino |
|  | Title: Execution Vice President and Chief of Staff to the CEO |

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