SEC Form 4 · accession 0001568214-17-000022
ConnectOne Bancorp, Inc. · CNOB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Thompson
Director
Period of report
Jun 1, 2007
Accepted (ET)
May 30, 2017 · 6:18 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 | May 27, 2017 | M | 3,473 | $15.73 | A | 72,180 | D | |
| Common Stock | May 27, 2017 | M | 3,473 | $11.15 | A | 76,653 | D | |
| Common StockF2 | May 27, 2017 | S | 4,350 | $21.704 | D | 71,303 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF4,F3 | $15.73 | Jun 1, 2007 | A | 3,473 | A | — | Jun 1, 2017 | Common Stock | 3,473 | 3,473 | D |
| Stock OptionF3 | $15.73 | May 27, 2017 | M | 3,473 | D | — | Jun 1, 2017 | Common Stock | 3,473 | 0 | D |
| Stock OptionF5 | $11.15 | May 27, 2017 | M | 3,473 | D | — | Mar 1, 2018 | Common Stock | 3,473 | 0 | D |
Explanation of responses
- F1Also includes 39.1404 shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan.
- F2The proceeds of the sale reported on this Form 4 were used by Mr. Thompson to fund the exercise of the stock options, also reported herein.
- F3The option became exercisable in four equal annual installments on June 1, 2008, 2009, 2010, and 2011
- F4Due to an administrative error, a Form 4 reflecting this option grant was inadvertently omitted.
- F5The option became exercisable in four equal annual installments on March 1, 2009, 2010, 2011, and 2012