SEC Form 4 · accession 0001568214-19-000016
ConnectOne Bancorp, Inc. · CNOB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Harold Schechter
Director
Period of report
Jan 23, 2019
Accepted (ET)
Jan 24, 2019 · 12:30 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 | Jan 23, 2019 | M | 3,473 | $7.67 | A | 19,879 | D | |
| Common Stock | Jan 23, 2019 | M | 3,473 | $8.53 | A | 23,352 | D | |
| Common Stock | Jan 23, 2019 | M | 3,473 | $9.11 | A | 26,825 | D | |
| Common Stock | Jan 23, 2019 | M | 3,473 | $9.64 | A | 30,298 | 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 | $7.67 | Jan 23, 2019 | M | 3,473 | D | Mar 1, 2009 | Mar 1, 2019 | Common Stock | 3,473 | 0 | D |
| Stock Option | $8.53 | Jan 23, 2019 | M | 3,473 | D | Mar 1, 2010 | Mar 1, 2020 | Common Stock | 3,473 | 0 | D |
| Stock Option | $9.11 | Jan 23, 2019 | M | 3,473 | D | Mar 1, 2011 | Mar 1, 2021 | Common Stock | 3,473 | 0 | D |
| Stock Option | $9.64 | Jan 23, 2019 | M | 3,473 | D | Mar 1, 2012 | Mar 1, 2022 | Common Stock | 3,473 | 0 | D |