SEC Form 4 · accession 0001568214-18-000041
ConnectOne Bancorp, Inc. · CNOB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Huttle III
Director
Period of report
Nov 20, 2018
Accepted (ET)
Nov 23, 2018 · 11:23 am 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 20, 2018 | S | 4,250 | $20.0209 | D | 194,849 | D | |
| Common Stock | Nov 21, 2018 | M | 18,103 | $4.62 | A | 212,952 | 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 21, 2018 | M | 18,103 | D | Jul 1, 2014 | Nov 26, 2018 | Common Stock | 18,103 | 0 | D |
Explanation of responses
- F1The proceeds of the sale reported on this Form 4 were used by Mr. Huttle 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 a grant 18,104 options, rather than 18,103.