Form 4 - Statement of changes in beneficial ownership of securities

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	OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response: 0.5
	Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
	Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person* Liberty 77 Capital L.P. (Last) (First) (Middle) 2099 PENNSYLVANIA AVENUE NW (Street) WASHINGTON DC 20006 (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 Officer (give title below) Other (specify below)
	3. Date of Earliest Transaction (Month/Day/Year) 08/12/2024
	4. If Amendment, Date of Original Filed (Month/Day/Year)	6. Individual or Joint/Group Filing (Check Applicable Line) Form filed by One Reporting Person X 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	08/12/2024		J		9,666,665	A	(5)	36,881,765(1)(2)(3)(4)	I	See footnotes(2)(3)(4)

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
Series B Preferred Stock	(5)	08/12/2024		C			29,000	(5)	(5)	Common Stock	9,666,665	(5)	0	I	See footnotes(2)(4)

1. Name and Address of Reporting Person* Liberty 77 Capital L.P. (Last) (First) (Middle) 2099 PENNSYLVANIA AVENUE NW (Street) WASHINGTON DC 20006 (City) (State) (Zip) Relationship of Reporting Person(s) to Issuer X Director 10% Owner Officer (give title below) Other (specify below)

1. Name and Address of Reporting Person* Liberty Strategic Capital (CEN) Holdings, LLC (Last) (First) (Middle) C/O LIBERTY 77 CAPITAL L.P. 2099 PENNSYLVANIA AVENUE NW (Street) WASHINGTON DC 20006 (City) (State) (Zip) Relationship of Reporting Person(s) to Issuer X Director 10% Owner Officer (give title below) Other (specify below)

1. Name and Address of Reporting Person* Liberty 77 Capital Partners L.P. (Last) (First) (Middle) C/O LIBERTY 77 CAPITAL L.P. 2099 PENNSYLVANIA AVENUE NW (Street) WASHINGTON DC 20006 (City) (State) (Zip) Relationship of Reporting Person(s) to Issuer X Director 10% Owner Officer (give title below) Other (specify below)

1. Name and Address of Reporting Person* Liberty Capital L.L.C. (Last) (First) (Middle) C/O LIBERTY 77 CAPITAL L.P. 2099 PENNSYLVANIA AVENUE NW (Street) WASHINGTON DC 20006 (City) (State) (Zip) Relationship of Reporting Person(s) to Issuer X Director 10% Owner Officer (give title below) Other (specify below)

1. Name and Address of Reporting Person* STM Partners LLC (Last) (First) (Middle) C/O LIBERTY 77 CAPITAL L.P. 2099 PENNSYLVANIA AVENUE NW (Street) WASHINGTON DC 20006 (City) (State) (Zip) Relationship of Reporting Person(s) to Issuer X Director 10% Owner Officer (give title below) Other (specify below)

1. Name and Address of Reporting Person* MNUCHIN STEVEN T (Last) (First) (Middle) C/O LIBERTY 77 CAPITAL L.P. 2099 PENNSYLVANIA AVE NW (Street) WASHINGTON DC 20006 (City) (State) (Zip) Relationship of Reporting Person(s) to Issuer X Director 10% Owner Officer (give title below) Other (specify below)

Explanation of Responses:

1. On July 11, 2024, the Issuer effected a one-for-three reverse stock split (the "Reverse Stock Split") as approved by the Issuer's shareholders at its annual meeting on June 5, 2024. As a result, every three shares of Common Stock, par value $0.01 per share (the "Common Stock"), of New York Community Bancorp, Inc. (the "Issuer") issued and outstanding were automatically exchanged into one new share of Common Stock, and restricted stock units were adjusted to reflect the Reverse Stock Split. Accordingly, the stock and restricted stock unit figures disclosed herein reflect the Reverse Stock Split.

2. Total includes 36,881,665 shares of Common Stock held by Liberty Strategic Capital (CEN) Holdings, LLC, a Delaware limited liability company (the "Liberty Purchaser"). Liberty 77 Capital L.P. (the "Liberty Manager"), a Delaware limited partnership, is the investment manager of the members of the Liberty Purchaser and manager of the Liberty Purchaser. Liberty 77 Capital Partners L.P. ("Liberty Manager GP"), a Delaware limited partnership, is the general partner of the Liberty Manager. Liberty Capital L.L.C., a Delaware limited liability company, is the general partner of the Liberty Manager GP. STM Partners LLC, a Delaware limited liability company, indirectly controls the Liberty Manager. Steven T. Mnuchin is the President of STM Partners LLC.

3. Total includes 100 service-based restricted stock units (after adjustment for the Reverse Stock Split) that were granted to Steven T. Mnuchin on March 27, 2024 in connection with his service as a director of the Issuer and which will vest over the passage of time in shares of Common Stock.

4. Each Reporting Person disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

5. Under the terms of the Investment Agreement, dated March 7, 2024 and as amended on March 11, 2024, between the Issuer and the Liberty Purchaser and the related certificate of designations, 29,000 shares of Series B Noncumulative Convertible Preferred Stock, par value $0.01 per share (the "Series B Preferred Stock"), were exchanged into shares of Common Stock on a 1-for-1,000 basis, subject to certain adjustments (including adjustments relating to the Reverse Stock Split). The Series B Preferred Stock has no expiration date.

	/s/ See Signatures Included in Exhibit 99.1	08/13/2024
	** 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.

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EXHIBIT 99.1

 

This Statement on Form 4 is filed jointly by the Reporting Persons listed below. The principal business address of each of these Reporting Persons can be found on the Form 4 filed herewith.

 

Name of Designated Filer: LIBERTY 77 CAPITAL L.P.

 

Date of Event Requiring Statement: August 12, 2024

 

Issuer Name and Ticker or Trading Symbol: NEW YORK COMMUNITY BANCORP INC [NYCB]

 

	LIBERTY 77 CAPITAL L.P.
	By:	Liberty 77 Capital Partners L.P., its general partner
	By:	Liberty Capital L.L.C., its general partner
	By:	/s/ Jesse M. Burwell
	Name:	Jesse M. Burwell
	Title:	Chief Financial Officer
	LIBERTY STRATEGIC CAPITAL (CEN) HOLDINGS, LLC
	By:	Liberty 77 Capital L.P., its manager
	By:	Liberty 77 Capital Partners L.P., its general partner
	By:	Liberty Capital L.L.C.,
		its general partner
	By:	/s/ Jesse M. Burwell
	Name:	Jesse M. Burwell
	Title:	Chief Financial Officer
	LIBERTY 77 CAPITAL PARTNERS L.P.
	By:	Liberty Capital L.L.C., its general partner
	By:	/s/ Jesse M. Burwell
	Name:	Jesse M. Burwell
	Title:	Chief Financial Officer

 

 

 

 

	LIBERTY CAPITAL L.L.C.
	By:	/s/ Jesse M. Burwell
	Name:	Jesse M. Burwell
	Title:	Chief Financial Officer

 

	STM PARTNERS LLC
	By:	/s/ Jesse M. Burwell
	Name:	Jesse M. Burwell as attorney-in-fact for Steven T. Mnuchin
	Title:	President
	/s/ Jesse M. Burwell
	Jesse M. Burwell as Attorney-in-Fact for Steven T. Mnuchin

 

 

 

 

 

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EXHIBIT 99.1

 

This Statement on Form 4 is filed jointly by the Reporting Persons listed below. The principal business address of each of these Reporting Persons can be found on the Form 4 filed herewith.

 

Name of Designated Filer: LIBERTY 77 CAPITAL L.P.

 

Date of Event Requiring Statement: August 12, 2024

 

Issuer Name and Ticker or Trading Symbol: NEW YORK COMMUNITY BANCORP INC [NYCB]

 

	LIBERTY 77 CAPITAL L.P.
	By:	Liberty 77 Capital Partners L.P., its general partner
	By:	Liberty Capital L.L.C., its general partner
	By:	/s/ Jesse M. Burwell
	Name:	Jesse M. Burwell
	Title:	Chief Financial Officer
	LIBERTY STRATEGIC CAPITAL (CEN) HOLDINGS, LLC
	By:	Liberty 77 Capital L.P., its manager
	By:	Liberty 77 Capital Partners L.P., its general partner
	By:	Liberty Capital L.L.C.,
		its general partner
	By:	/s/ Jesse M. Burwell
	Name:	Jesse M. Burwell
	Title:	Chief Financial Officer
	LIBERTY 77 CAPITAL PARTNERS L.P.
	By:	Liberty Capital L.L.C., its general partner
	By:	/s/ Jesse M. Burwell
	Name:	Jesse M. Burwell
	Title:	Chief Financial Officer

 

 

 

 

	LIBERTY CAPITAL L.L.C.
	By:	/s/ Jesse M. Burwell
	Name:	Jesse M. Burwell
	Title:	Chief Financial Officer

 

	STM PARTNERS LLC
	By:	/s/ Jesse M. Burwell
	Name:	Jesse M. Burwell as attorney-in-fact for Steven T. Mnuchin
	Title:	President
	/s/ Jesse M. Burwell
	Jesse M. Burwell as Attorney-in-Fact for Steven T. Mnuchin

 

 

 

 

 

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