SEC Form 4 · accession 0001568214-17-000030
ConnectOne Bancorp, Inc. · CNOB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Laura Criscione
Officer — EVP & Chief Compliance Officer
Period of report
Dec 14, 2017
Accepted (ET)
Dec 18, 2017 · 9:02 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 Stock | Dec 14, 2017 | M | 6,204 | $6.15 | A | 56,536 | D | |
| Common Stock | Dec 14, 2017 | M | 7,800 | $6.15 | A | 64,336 | D | |
| Common Stock | Dec 14, 2017 | S | 4,300 | $26.486 | D | 60,036 | 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 14, 2017 | M | 6,204 | D | Jul 1, 2014 | Jan 11, 2018 | Common Stock | 6,204 | 0 | D |
| Stock Option | $6.15 | Dec 14, 2017 | M | 7,800 | D | Jul 1, 2014 | Jan 21, 2018 | Common Stock | 7,800 | 0 | D |
Explanation of responses
- F1The sale reported on this Form 4 represents the settlement of the exercise price of the stock options also reported herein, as well as to satisfy estimated personal income tax obligations with respect to the same.