SEC Form 4 · accession 0001568214-16-000060
ConnectOne Bancorp, Inc. · CNOB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Thompson
Director
Period of report
Jan 14, 2016
Accepted (ET)
Jun 2, 2016 · 4:33 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 | Jan 14, 2016 | M | 1,315 | $12.54 | A | 67,260 | D | |
| Common Stock | May 31, 2016 | M | 1,000 | $12.54 | A | 68,260 | D | |
| Common StockF1 | May 31, 2016 | S | 780 | $16.16 | D | 67,480 | 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 | $12.54 | Jan 14, 2016 | M | 1,315 | D | Jun 1, 2010 | Jun 1, 2016 | Common Stock | 1,315 | 1,000 | D |
| Stock Option | $12.54 | May 31, 2016 | M | 1,000 | D | Jun 1, 2010 | Jun 1, 2016 | Common Stock | 1,000 | 0 | D |
Explanation of responses
- F1The proceeds of the sale reported on this Form 4 was used to fund the exercise price of the stock option exercise also reported herein.