SEC Form 4 · accession 0001568214-18-000038
ConnectOne Bancorp, Inc. · CNOB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Laura Criscione
Officer — EVP & Chief Compliance Officer
Period of report
Nov 7, 2018
Accepted (ET)
Nov 9, 2018 · 1:04 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 | S | 4,700 | $21.45 | D | 57,384 | D | |
| Common Stock | Nov 9, 2018 | M | 5,218 | $4.62 | A | 62,602 | D | |
| Common Stock | Nov 9, 2018 | M | 3,900 | $4.62 | A | 66,502 | 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 | Nov 9, 2018 | M | 5,218 | D | Jul 1, 2014 | Jan 9, 2019 | Common Stock | 5,218 | 0 | D |
| Stock OptionF2 | $4.62 | Nov 9, 2018 | M | 3,900 | D | Jul 1, 2014 | Feb 25, 2019 | Common Stock | 3,900 | 0 | D |
Explanation of responses
- F1The proceeds of the sale reported on this Form 4 were used by Ms. Criscione with respect to the settlement of the exercise price of the stock options also reported herein, as well as to satisfy estimated personal income tax obligations with respect to the same.
- F2Due to a rounding error, the Form 4 filed on July 1, 2014 with respect to the stock options exercises reported herein, incorrectly reflected an exercise price of $4.61 rather than $4.62.