SEC Form 4 · accession 0001568214-18-000035
ConnectOne Bancorp, Inc. · CNOB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael W Kempner
Director
Period of report
Nov 6, 2018
Accepted (ET)
Nov 7, 2018 · 3:45 pm 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 | Nov 6, 2018 | S | 5,650 | $21.4559 | D | 374,426 | D | |
| Common Stock | Nov 7, 2018 | M | 25,966 | $4.62 | A | 400,392 | 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 | Nov 7, 2018 | M | 25,966 | D | Jul 1, 2014 | Nov 26, 2018 | Common Stock | 25,966 | 0 | D |
Explanation of responses
- F1The proceeds of the of sale reported herein were utilized in connection with the exercise of the stock options, also reported herein.