SEC Form 4 · accession 0001568214-19-000017
ConnectOne Bancorp, Inc. · CNOB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Thompson
Director
Period of report
Jan 30, 2019
Accepted (ET)
Jan 31, 2019 · 5:55 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 30, 2019 | S | 2,700 | $20.1079 | D | 74,787 | D | |
| Common Stock | Jan 30, 2019 | M | 3,473 | $8.53 | A | 78,260 | 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 | $8.53 | Jan 30, 2019 | M | 3,473 | D | Mar 1, 2014 | Mar 1, 2020 | Common Stock | 3,473 | 0 | D |
Remarks
The proceeds of the sale reported on this Form 4 were used by Mr. Thompson with respect to the settlement of the exercise price of the stock options also reported herein.