SEC Form 4 · accession 0001568214-18-000033
ConnectOne Bancorp, Inc. · CNOB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Sorrentino III
Officer — Chairman, President & CEO · Director
Period of report
Aug 16, 2018
Accepted (ET)
Aug 20, 2018 · 2:50 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 Stock | Aug 16, 2018 | S | 10,918 | $25.0596 | D | 598,799 | D | |
| Common Stock | Aug 17, 2018 | S | 17,810 | $24.9323 | D | 580,989 | D | |
| Common Stock | Aug 20, 2018 | M | 51,935 | $4.62 | A | 632,924 | 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 | $4.62 | Aug 20, 2018 | M | 51,935 | D | Jul 1, 2014 | Nov 26, 2018 | Common Stock | 51,935 | 0 | D |
Remarks
The sales reported on this Form 4 were used by Mr. Sorrentino to fund the exercise of the stock options and to satisfy estimated personal income tax obligations with respect to such stock option exercise.