SEC Form 4 · accession 0001568214-16-000065
ConnectOne Bancorp, Inc. · CNOB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Huttle III
Director
Period of report
Nov 9, 2016
Accepted (ET)
Nov 14, 2016 · 12:12 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 | Nov 9, 2016 | M | 4,282 | $6.15 | A | 192,844 | 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 | Nov 9, 2016 | M | 4,282 | D | Jul 1, 2014 | Nov 11, 2016 | Common Stock | 4,282 | 0 | D |