NEW YORK COMMUNITY BANCORP INC
For the period ended Mar 31, 2024. Filed May 10, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 31, 2024 · Filed May 10, 2024
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
| Item 6. | Exhibits |
|---|
| Exhibit No. | |
|---|---|
| 3.1 | Amended and Restated Certificate of Incorporation (1) |
| 3.2 | Certificates of Amendment of Amended and Restated Certificate of Incorporation (2) |
| 3.3 | Certificate of Amendment of Amended and Restated Certificate of Incorporation (3) |
| 3.4 | Certificate of Designations of the Registrant for Series A Preferred Stock(4) |
| 3.5 | Certificate of Designations for Series B Noncumulative Convertible Preferred Stock(5) |
| 3.6 | Certificate of Designations for Series C Noncumulative Convertible Preferred Stock(5) |
| 3.7 | Certificate of Designations for Series D Non-Voting Common Equivalent Stock(5) |
| 3.8 | Amended and Restated Bylaws(5) |
| 4.1 | Specimen Stock Certificate (6) |
| 4.2 | Deposit Agreement, dated as of March 16, 2017, by and among the Registrant, Computershare, Inc, and Computershare Trust Company, N.A., as joint depositary, and the holders from time to time of the depositary receipts described therein (7) |
| 4.3 | Form of certificate representing the Series A Preferred Stock (7) |
| 4.4 | Form of issued warrant for shares of Series D Non-Voting Common Equivalent Stock(5) |
| 4.5 | Form of depositary receipt representing the Depositary Shares (7) |
| 4.6 | Registrant will furnish, upon request, copies of all instruments defining the rights of holders of long-term debt instruments of the registrant and its consolidated subsidiaries. |
| 10.1 | Investment Agreement, dated March 7, 2024 (and as amended on March 11, 2024), by and between New York Community Bancorp, Inc. and Liberty*(5) |
| 10.2 | Form of Investment Agreements, dated March 7, 2024 (and as amended on March 11, 2024), by and between New York Community Bancorp, Inc. and Hudson Bay*(5) |
| 10.3 | Investment Agreement, dated March 7, 2024 (and as amended on March 11, 2024), by and between New York Community Bancorp, Inc. and Reverence.*(5) |
| 10.4 | Registration Rights Agreement, dated March 11, 2024, by and between NYCB and certain investors thereto.*(5) |
| 10.5 | Employment Agreement Term Sheet between New York Community Bancorp, Inc. and Joseph Otting**(8) |
| 10.6 | Non-Executive Chairman Term Sheet between New York Community Bancorp, Inc. and Alessandro DiNello**(8) |
| 31.1 | Rule 13a-14(a) Certification of Chief Executive Officer of the Company in accordance with Section 302 of the Sarbanes-Oxley Act of 2002 (attached hereto) |
| 31.2 | Rule 13a-14(a) Certification of Chief Financial Officer of the Company in accordance with Section 302 of the Sarbanes-Oxley Act of 2002 (attached hereto) |
| 32 | Section 1350 Certifications of the Chief Executive Officer and Chief Financial Officer of the Company in accordance with Section 906 of the Sarbanes-Oxley Act of 2002 (attached hereto) |
| 101.INS | XBRL Instance Document – the instance document does not appear in the Interactive Data File because iXBRL tags are embedded within the Inline XBRL document. |
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document. |
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document. |
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document. |
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document. |
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document. |
| 104 | Cover Page Interactive Date File (formatted in Inline XBRL and contained in Exhibit 101) |
*Pursuant to Item 601(b)(2) of Regulation S-K, certain schedules and similar attachments have been omitted. The registrant hereby agrees to furnish a copy of any omitted schedule or similar attachment to the SEC upon request.
** Management plan or compensation plan arrangement.
(1)Incorporated by reference to Exhibits filed with the Company’s Form 10-Q for the quarterly period ended March 31, 2001 (File No. 0-22278)
(2)Incorporated by reference to Exhibits filed with the Company’s Form 10-K for the year ended December 31, 2003 (File No. 1-31565)
(3)Incorporated by reference to Exhibits to the Company’s Form 8-K filed with the Securities and Exchange Commission on April 27, 2016 (File No. 1-31565)
(4)Incorporated herein by reference to Exhibit 3.4 of the Registrant’s Registration Statement on Form 8-A (File No. 333-210919), as filed with the Securities and Exchange Commission on March 16, 2017
(5)Incorporated by reference to the Exhibits filed with the Company’s Form 8-K filed with the Securities and Exchange Commission on March 14, 2024 (File No. 1-31565)
(6)Incorporated by reference to Exhibits filed with the Company’s Form 10-Q for the quarterly period ended September 30, 2017 (File No. 1-31565)
(7)Incorporated by reference to Exhibits filed with the Company’s Form 8-K filed with the Securities and Exchange Commission on March 17, 2017 (File No. 1-31565)
(8)Incorporated by reference to Exhibits filed with the Company’s Form 8-K filed with the Securities and Exchange Commission on March 8, 2024 (File No. 1-31565)
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