Sec Form 4 Filing - THOMPSON WILLIAM @ ConnectOne Bancorp, Inc. - 2020-01-28

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
THOMPSON WILLIAM
2. Issuer Name and Ticker or Trading Symbol
ConnectOne Bancorp, Inc. [ CNOB]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O CONNECTONE BANCORP, INC., 301 SLYVAN AVENUE
3. Date of Earliest Transaction (MM/DD/YY)
01/28/2020
(Street)
ENGLEWOOD CLIFFS, NJ07632
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/28/2020 S( 1 ) 3,278 D $ 24.41 76,342.1169 ( 2 ) D
Common Stock 01/28/2020 M 3,473 A $ 9.11 79,815.1169 D
Common Stock 12,430.5329 ( 3 ) I By Spouse
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) ( D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option $ 9.11 01/28/2020 M 3,473 03/01/2015 03/01/2021 Common Stock 3,473 $ 0 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
THOMPSON WILLIAM
C/O CONNECTONE BANCORP, INC.
301 SLYVAN AVENUE
ENGLEWOOD CLIFFS, NJ07632
X
Signatures
/s/ Laura Criscione, POA 01/30/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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.
( 2 )Also includes 140.5027 shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan.
( 3 )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.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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