SEC Form 4 · accession 0001568214-15-000001
ConnectOne Bancorp, Inc. · CNOB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Sorrentino III
Officer — Chairman, President & CEO · Director
Period of report
Jan 7, 2015
Accepted (ET)
Jan 8, 2015 · 4:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000712771
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 7, 2015 | M | 78,000 | $3.85 | A | 498,094 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $3.85 | Jan 7, 2015 | M | 78,000 | D | Jul 1, 2014 | Jun 21, 2015 | Common Stock | 78,000 | 0 | D |