SEC Form 4 · accession 0001568214-15-000018
ConnectOne Bancorp, Inc. · CNOB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Howard Kent
Other
Period of report
Mar 31, 2015
Accepted (ET)
Apr 1, 2015 · 6:21 pm EDT
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 StockF1 | Mar 31, 2015 | D | 1,352 | $0.00 | D | 151,099 | D | |
| Common Stock | Apr 1, 2015 | M | 3,473 | $7.67 | A | 154,572 | D | |
| Common Stock | Apr 1, 2015 | M | 3,473 | $8.53 | A | 158,045 | D | |
| Common Stock | Apr 1, 2015 | M | 3,473 | $9.11 | A | 161,518 | D | |
| Common Stock | Apr 1, 2015 | M | 3,473 | $9.64 | A | 164,991 | D | |
| Common Stock | Apr 1, 2015 | M | 3,473 | $12.52 | A | 168,464 | 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 | $7.67 | Apr 1, 2015 | M | 3,473 | D | Mar 1, 2013 | Mar 1, 2019 | Common Stock | 3,473 | 0 | D |
| Stock Option | $8.53 | Apr 1, 2015 | M | 3,473 | D | Mar 1, 2014 | Mar 1, 2020 | Common Stock | 3,473 | 0 | D |
| Stock Option | $9.11 | Apr 1, 2015 | M | 3,473 | D | Jul 1, 2014 | Mar 1, 2021 | Common Stock | 3,473 | 0 | D |
| Stock Option | $9.64 | Apr 1, 2015 | M | 3,473 | D | Jul 1, 2014 | Mar 1, 2022 | Common Stock | 3,473 | 0 | D |
| Stock Option | $12.52 | Apr 1, 2015 | M | 3,473 | D | Jul 1, 2014 | Mar 1, 2023 | Common Stock | 3,473 | 0 | D |
Explanation of responses
- F1As reported on the Form 4 filed on February 5, 2015, Mr. Kent was issued 1,352 shares of restricted stock subject to vesting on the date one year thereafter. In connection with Mr. Kent's resignation from the Issuer's Board of Directors on March 31, 2015, such stock was forfeited.