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ConnectOne Bancorp, Inc. — Director's Dealing 2020
Jan 30, 2020
32054_dirs_2020-01-30_fd65aecf-703d-4543-b604-7bbcd79ab6a3.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: 2020-01-28
Reporting Person: THOMPSON WILLIAM (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-01-28 | Common Stock | S | 3278 | $24.41 | Disposed | 76342.1169 | Direct |
| 2020-01-28 | Common Stock | M | 3473 | $9.11 | Acquired | 79815.1169 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-01-28 | Stock Option | $9.11 | M | 3473 | Disposed | 2021-03-01 | Common Stock (3473) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 12430.5329 | Indirect |
Footnotes
F1: The proceeds of the sale reported on this Form 4 were used in part by Mr. Thompson to satisfy(i) the estimated personal income tax obligations and (ii) the settlement of the exercise price, with respect to the exercise of the stock options also reported herein.
F2: Also includes 140.5027 shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan.
F3: The reporting person no longer has a reportable beneficial interest in 2,454.7311 shares owned by his adult child and included on his prior ownership reports.