SEC Form 4 · accession 0001568214-18-000029
ConnectOne Bancorp, Inc. · CNOB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen T. Boswell
Director
Period of report
Mar 30, 2018
Accepted (ET)
Apr 2, 2018 · 3:21 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 | Mar 30, 2018 | M | 15,000 | $4.62 | A | 287,025 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $4.62 | Mar 30, 2018 | M | 15,000 | D | Jul 1, 2014 | Nov 26, 2018 | Common Stock | 15,000 | 0 | D |
Explanation of responses
- F1Reflects 15,000 shares acquired from the exercise of 15,000 Stock Options at an exercise price of $4.62 per share, together with an additional 682.617 shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan.
- F2In connection with the preparation of this filing, the filer identified an inadvertent rounding error in the number of Stock Options reported in the Form 4 filed December 8, 2017, which reported a remaining amount of 14,999. The actual number of remaining Stock Options was 15,000. The filer's ownership has been updated accordingly to reflect the grant of one additional option.