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ConnectOne Bancorp, Inc. — Director's Dealing 2017
May 30, 2017
32054_dirs_2017-05-30_ffb029b6-b72b-40ed-b8a9-299ddf1ae291.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ConnectOne Bancorp, Inc. (CNOB)
CIK: 0000712771
Period of Report: 2007-06-01
Reporting Person: THOMPSON WILLIAM (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-05-27 | Common Stock | M | 3473 | $15.73 | Acquired | 72179.825 | Direct |
| 2017-05-27 | Common Stock | M | 3473 | $11.15 | Acquired | 76652.825 | Direct |
| 2017-05-27 | Common Stock | S | 4350 | $21.704 | Disposed | 71302.825 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2007-06-01 | Stock Option | $15.73 | A | 3473 | Acquired | 2017-06-01 | Common Stock (3473) | Direct |
| 2017-05-27 | Stock Option | $15.73 | M | 3473 | Disposed | 2017-06-01 | Common Stock (3473) | Direct |
| 2017-05-27 | Stock Option | $11.15 | M | 3473 | Disposed | 2018-03-01 | Common Stock (3473) | Direct |
Footnotes
F1: Also includes 39.1404 shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan.
F2: The proceeds of the sale reported on this Form 4 were used by Mr. Thompson to fund the exercise of the stock options, also reported herein.
F3: The option became exercisable in four equal annual installments on June 1, 2008, 2009, 2010, and 2011
F4: Due to an administrative error, a Form 4 reflecting this option grant was inadvertently omitted.
F5: The option became exercisable in four equal annual installments on March 1, 2009, 2010, 2011, and 2012