SEC Form 4 · accession 0001568214-18-000032
ConnectOne Bancorp, Inc. · CNOB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Thompson
Director
Period of report
Aug 14, 2018
Accepted (ET)
Aug 16, 2018 · 4:40 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 | Aug 14, 2018 | S | 1,325 | $25.15 | D | 71,368 | D | |
| Common Stock | Aug 14, 2018 | M | 3,473 | $7.67 | A | 74,841 | D | |
| Common Stock | Aug 14, 2018 | M | 473 | $12.52 | A | 75,314 | 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 | $7.67 | Aug 14, 2018 | M | 3,473 | D | — | Mar 1, 2019 | Common Stock | 3,473 | 0 | D |
| Stock OptionF3 | $12.52 | Aug 14, 2018 | M | 473 | D | — | Mar 1, 2023 | Common Stock | 473 | 3,000 | D |
Explanation of responses
- F1The proceeds of the sale reported on this Form 4 were used by Mr. Thompson to fund the exercise of the stock options. Also includes 99.8296 shares acquired through the Company's Dividend Reimbursement & Optional Cash Purchase Plan.
- F2The option became exercisable in four equal annual installments on March 1, 2010, 2011, 2012, and 2013.
- F3The option became exercisable in four equal annual installments on March 1, 2014, 2015, 2016, and 2017.