SEC Form 4/A · accession 0001568214-16-000059
ConnectOne Bancorp, Inc. · CNOB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
William Thompson
Director
Period of report
Sep 24, 2015
Accepted (ET)
Jun 2, 2016 · 4:20 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 | Sep 24, 2015 | M | 1,158 | $12.54 | A | 63,744 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $12.54 | Sep 24, 2015 | M | 1,158 | D | Jun 1, 2010 | Jun 1, 2016 | Common Stock | 1,158 | 2,315 | D |
Explanation of responses
- F1This Form 4/A is being filed to correct a clerical error in Mr. Thompson's Form 4 filed on September 28, 2015 for a transaction occurring on September 24, 2015. Mr. Thompson was shown to have 2,585 options to purchase shares of the Company's common stock following the exercise of 1,158 options reported therein. The correct number of options remaining following the reported transaction is 2,315