SEC Form 4 · accession 0001568214-16-000052
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
Apr 18, 2016
Accepted (ET)
Apr 20, 2016 · 3:49 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 Stock | Apr 18, 2016 | M | 16,250 | $6.15 | A | 550,136 | 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 | $6.15 | Apr 18, 2016 | M | 16,250 | D | Jul 1, 2014 | May 5, 2016 | Common Stock | 16,250 | 9,750 | D |
Remarks
Mr. Sorrentino no longer has a reportable beneficial interest in the 5,228 shares of common stock previously held as trustee for his children and reported on his Form 4 filed on July 1, 2014.