SEC Form 4 · accession 0001568214-18-000037
ConnectOne Bancorp, Inc. · CNOB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph Parisi Jr.
Director
Period of report
Nov 7, 2018
Accepted (ET)
Nov 8, 2018 · 4:11 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 Stock | Nov 7, 2018 | M | 22,739 | $4.62 | A | 214,149 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $4.62 | Nov 7, 2018 | M | 22,739 | D | Jul 1, 2014 | Nov 26, 2018 | Common Stock | 22,739 | 0 | D |
Explanation of responses
- F1Due to a rounding error, the Form 4 filed on July 1, 2014 incorrectly reflected a grant of 22,740 options to purchase shares of the Issuer's common stock, instead of 22,739, as reflected here.