SEC Form 4 · accession 0001568214-17-000029
ConnectOne Bancorp, Inc. · CNOB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen T. Boswell
Director
Period of report
Dec 7, 2017
Accepted (ET)
Dec 8, 2017 · 10:13 am 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 StockF1 | Dec 7, 2017 | M | 5,437 | $6.15 | A | 268,357 | D | |
| Common Stock | Dec 7, 2017 | M | 8,760 | $4.62 | A | 277,117 | D | |
| Common Stock | Dec 7, 2017 | G | 7,700 | $0.00 | D | 269,417 | 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 | Dec 7, 2017 | M | 5,437 | D | Jul 1, 2014 | Jan 22, 2018 | Common Stock | 5,437 | 0 | D |
| Stock Option | $4.62 | Dec 7, 2017 | M | 8,760 | D | Jul 1, 2014 | Nov 26, 2018 | Common Stock | 8,760 | 14,999 | D |
Explanation of responses
- F1Also includes 2,469.802 shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan
- F2This transaction reflects a charitable gift of 7,700 shares of Common Stock.