SEC Form 4 · accession 0001568214-18-000042
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
Dec 12, 2018
Accepted (ET)
Dec 12, 2018 · 3:04 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 | Dec 12, 2018 | M | 6,937 | $4.62 | A | 639,861 | D | |
| Common Stock | Dec 12, 2018 | M | 4,750 | $4.62 | A | 644,611 | 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 | Dec 12, 2018 | M | 6,937 | D | Jul 1, 2014 | Jan 9, 2019 | Common Stock | 6,937 | 0 | D |
| Stock Option | $4.62 | Dec 12, 2018 | M | 4,750 | D | Jul 1, 2014 | Feb 25, 2019 | Common Stock | 4,750 | 0 | D |