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Nasdaq · USD

CNOB

ConnectOne Bancorp, Inc.

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Tapewire entity
4669
SEC CIK
0000712771
Parsed reports
330

Last 12 months

Inside the activity.

3 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202630
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 02, 2020 Filed Jun 4, 2020 18:57 UTC GrantCommon Stock 4,379 $0.00 $0.00
Disclosure

SEC source: 0001568214-20-000017 · primary_doc.xml · nonDerivative · entry 1

Huttle Frank III · CIK 0001568217 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,818

F1 · balance_after: Represents a grant of 4,379 shares of restricted stock subject to forfeiture, vesting in full on 5/2/2021. Also reflects a transfer of 145,644 shares previously held directly to shares held by his spouse. See footnote 2.

Read SEC document
June 02, 2020 Filed Jun 4, 2020 18:49 UTC GrantCommon Stock 4,379 $0.00 $0.00
Disclosure

SEC source: 0001568214-20-000016 · primary_doc.xml · nonDerivative · entry 1

THOMPSON WILLIAM · CIK 0001089892 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,539.9911

F1 · shares: Represents a grant of 4,379 shares of restricted stock subject to forfeiture, vesting in full on 5/2/2021.

Read SEC document
June 02, 2020 Filed Jun 4, 2020 18:45 UTC GrantCommon Stock 4,379 $0.00 $0.00
Disclosure

SEC source: 0001568214-20-000015 · primary_doc.xml · nonDerivative · entry 1

BOL ALEXANDER · CIK 0001089883 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,515.55

F1 · shares: Represents a grant of 4,379 shares of restricted stock subject to forfeiture, vesting in full on 5/2/2021.

Read SEC document
March 20, 2020 Filed Mar 31, 2020 21:08 UTC
Criscione LauraEVP & Chief Compliance Officer
GrantCommon Stock 7,556 $0.00 $0.00
Disclosure

SEC source: 0001568214-20-000011 · primary_doc.xml · nonDerivative · entry 5

Criscione Laura · CIK 0001568214 · EVP & Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,449

F5 · shares: Represents a grant of restricted stock units subject to forfeiture, vesting over a three-year period, with 1/3 vesting on 3/20/21, 1/3 vesting on 3/20/22, and the final 1/3 vesting on 3/20/23.

Read SEC document
March 20, 2020 Filed Mar 31, 2020 21:08 UTC
Criscione LauraEVP & Chief Compliance Officer
Tax withholdingCommon Stock 1,072 $10.77 $11,545.44
Disclosure

SEC source: 0001568214-20-000011 · primary_doc.xml · nonDerivative · entry 4

Criscione Laura · CIK 0001568214 · EVP & Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,893

F4 · shares: Reflects tax withholding of shares acquired pursuant to performance units reported above.

Read SEC document
March 20, 2020 Filed Mar 31, 2020 21:08 UTC
Criscione LauraEVP & Chief Compliance Officer
GrantCommon Stock 2,681 $0.00 $0.00
Disclosure

SEC source: 0001568214-20-000011 · primary_doc.xml · nonDerivative · entry 3

Criscione Laura · CIK 0001568214 · EVP & Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,965

F3 · shares: Shares acquired pursuant to earned performance units granted on March 23, 2017.

Read SEC document
March 20, 2020 Filed Mar 31, 2020 20:55 UTC
Burns William SEVP & Chief Financial Officer
GrantCommon Stock 17,967 $0.00 $0.00
Disclosure

SEC source: 0001568214-20-000010 · primary_doc.xml · nonDerivative · entry 5

Burns William S · CIK 0001458372 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,842

F5 · shares: Represents a grant of restricted stock units subject to forfeiture, vesting over a three-year period, with 1/3 vesting on 3/20/21, 1/3 vesting on 3/20/22, and the final 1/3 vesting on 3/20/23.

Read SEC document
March 20, 2020 Filed Mar 31, 2020 20:55 UTC
Burns William SEVP & Chief Financial Officer
Tax withholdingCommon Stock 2,009 $10.77 $21,636.93
Disclosure

SEC source: 0001568214-20-000010 · primary_doc.xml · nonDerivative · entry 4

Burns William S · CIK 0001458372 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,875

F4 · shares: Reflects tax withholding of shares acquired pursuant to performance units reported above.

Read SEC document
March 20, 2020 Filed Mar 31, 2020 20:55 UTC
Burns William SEVP & Chief Financial Officer
GrantCommon Stock 5,024 $0.00 $0.00
Disclosure

SEC source: 0001568214-20-000010 · primary_doc.xml · nonDerivative · entry 3

Burns William S · CIK 0001458372 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,884

F3 · shares: Shares acquired pursuant to earned performance units granted on March 23, 2017.

Read SEC document
March 20, 2020 Filed Mar 31, 2020 20:43 UTC
Sorrentino Frank IIIDirector · Chairman, President & CEO
GrantCommon Stock 57,451 $0.00 $0.00
Disclosure

SEC source: 0001568214-20-000009 · primary_doc.xml · nonDerivative · entry 5

Sorrentino Frank III · CIK 0001568273 · Director · Chairman, President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 768,426

F5 · shares: Represents a grant of restricted stock units subject to forfeiture, vesting over a three-year period, with 1/3 vesting on 3/20/21, 1/3 vesting on 3/20/22, and the final 1/3 vesting on 3/20/23.

Read SEC document
March 20, 2020 Filed Mar 31, 2020 20:43 UTC
Sorrentino Frank IIIDirector · Chairman, President & CEO
Tax withholdingCommon Stock 7,279 $10.77 $78,394.83
Disclosure

SEC source: 0001568214-20-000009 · primary_doc.xml · nonDerivative · entry 4

Sorrentino Frank III · CIK 0001568273 · Director · Chairman, President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 710,975

F4 · shares: Reflects tax withholding of shares acquired pursuant to performance units reported above.

Read SEC document
March 20, 2020 Filed Mar 31, 2020 20:43 UTC
Sorrentino Frank IIIDirector · Chairman, President & CEO
GrantCommon Stock 18,173 $0.00 $0.00
Disclosure

SEC source: 0001568214-20-000009 · primary_doc.xml · nonDerivative · entry 3

Sorrentino Frank III · CIK 0001568273 · Director · Chairman, President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 718,254

F3 · shares: Shares acquired pursuant to earned performance units granted on March 23, 2017.

Read SEC document
March 20, 2020 Filed Apr 1, 2020 20:20 UTC
Ewing Christopher J.EVP & Chief Operations Officer
GrantCommon Stock 15,669 $0.00 $0.00
Disclosure

SEC source: 0001568214-20-000013 · primary_doc.xml · nonDerivative · entry 5

Ewing Christopher J. · CIK 0001534147 · EVP & Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,471

F5 · shares: Represents a grant of restricted stock units subject to forfeiture, vesting over a three year period, with 1/3 vesting on 3/20/21, 1/3 vesting on 3/20/22, and the final 1/3 vesting on 3/20/23.

Read SEC document
March 20, 2020 Filed Apr 1, 2020 20:20 UTC
Ewing Christopher J.EVP & Chief Operations Officer
Tax withholdingCommon Stock 1,635 $10.77 $17,608.95
Disclosure

SEC source: 0001568214-20-000013 · primary_doc.xml · nonDerivative · entry 4

Ewing Christopher J. · CIK 0001534147 · EVP & Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,802

F4 · shares: Reflects tax withholding of shares acquired pursuant to performance units reported above.

Read SEC document
March 20, 2020 Filed Apr 1, 2020 20:20 UTC
Ewing Christopher J.EVP & Chief Operations Officer
GrantCommon Stock 4,088 $0.00 $0.00
Disclosure

SEC source: 0001568214-20-000013 · primary_doc.xml · nonDerivative · entry 3

Ewing Christopher J. · CIK 0001534147 · EVP & Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,437

F3 · shares: Shares acquired pursuant to earned performance units granted on March 23, 2017.

Read SEC document
March 20, 2020 Filed Apr 1, 2020 13:29 UTC
Magennis ElizabethEVP & Chief Lending Officer
GrantCommon Stock 17,549 $0.00 $0.00
Disclosure

SEC source: 0001568214-20-000012 · primary_doc.xml · nonDerivative · entry 5

Magennis Elizabeth · CIK 0001568272 · EVP & Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,639

F5 · shares: Represents a grant of restricted stock units subject to forfeiture, vesting over a three year period, with 1/3 vesting on 3/20/21, 1/3 vesting on 3/20/22, and the final 1/3 vesting on 3/20/23.

Read SEC document
March 20, 2020 Filed Apr 1, 2020 13:29 UTC
Magennis ElizabethEVP & Chief Lending Officer
Tax withholdingCommon Stock 1,857 $10.77 $19,999.89
Disclosure

SEC source: 0001568214-20-000012 · primary_doc.xml · nonDerivative · entry 4

Magennis Elizabeth · CIK 0001568272 · EVP & Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,090

F4 · shares: Reflects tax withholding of shares acquired pursuant to performance units reported above.

Read SEC document
March 20, 2020 Filed Apr 1, 2020 13:29 UTC
Magennis ElizabethEVP & Chief Lending Officer
GrantCommon Stock 4,643 $0.00 $0.00
Disclosure

SEC source: 0001568214-20-000012 · primary_doc.xml · nonDerivative · entry 3

Magennis Elizabeth · CIK 0001568272 · EVP & Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,947

F3 · shares: Shares acquired pursuant to earned performance units granted on March 23, 2017.

Read SEC document
March 20, 2020 Filed Apr 2, 2020 19:17 UTC
McGrover Michael J.FSVP & Chief Credit Officer
GrantCommon Stock 7,678 $0.00 $0.00
Disclosure

SEC source: 0001568214-20-000014 · primary_doc.xml · nonDerivative · entry 5

McGrover Michael J. · CIK 0001675247 · FSVP & Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,220.3888

F6 · shares: Represents a grant of restricted stock units subject to forfeiture, vesting over a three year period, with 1/3 vesting on 3/20/21, 1/3 vesting on 3/20/22, and the final 1/3 vesting on 3/20/23.

Read SEC document
March 20, 2020 Filed Apr 2, 2020 19:17 UTC
McGrover Michael J.FSVP & Chief Credit Officer
Tax withholdingCommon Stock 1,092 $10.77 $11,760.84
Disclosure

SEC source: 0001568214-20-000014 · primary_doc.xml · nonDerivative · entry 4

McGrover Michael J. · CIK 0001675247 · FSVP & Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,542.3888

F5 · shares: Reflects tax withholding of shares acquired pursuant to performance units reported above.

Read SEC document
March 20, 2020 Filed Apr 2, 2020 19:17 UTC
McGrover Michael J.FSVP & Chief Credit Officer
GrantCommon Stock 2,730 $0.00 $0.00
Disclosure

SEC source: 0001568214-20-000014 · primary_doc.xml · nonDerivative · entry 3

McGrover Michael J. · CIK 0001675247 · FSVP & Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,634.3888

F4 · shares: Shares acquired pursuant to earned performance units granted on March 23, 2017.

Read SEC document
March 19, 2020 Filed Mar 31, 2020 21:08 UTC
Criscione LauraEVP & Chief Compliance Officer
Tax withholdingCommon Stock 505 $10.75 $5,428.75
Disclosure

SEC source: 0001568214-20-000011 · primary_doc.xml · nonDerivative · entry 2

Criscione Laura · CIK 0001568214 · EVP & Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,284

F2 · shares: Reflects tax withholding of shares acquired on March 19, 2020, pursuant to a grant of restricted stock units issued on March 19, 2019.

Read SEC document
March 19, 2020 Filed Mar 31, 2020 20:55 UTC
Burns William SEVP & Chief Financial Officer
Tax withholdingCommon Stock 1,010 $10.75 $10,857.50
Disclosure

SEC source: 0001568214-20-000010 · primary_doc.xml · nonDerivative · entry 2

Burns William S · CIK 0001458372 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,860

F2 · shares: Reflects tax withholding of shares acquired on March 19, 2020, pursuant to a grant of restricted stock units issued on March 19, 2019.

Read SEC document
March 19, 2020 Filed Mar 31, 2020 20:43 UTC
Sorrentino Frank IIIDirector · Chairman, President & CEO
Tax withholdingCommon Stock 3,271 $10.75 $35,163.25
Disclosure

SEC source: 0001568214-20-000009 · primary_doc.xml · nonDerivative · entry 2

Sorrentino Frank III · CIK 0001568273 · Director · Chairman, President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700,081

F2 · shares: Reflects tax withholding of shares acquired on March 19, 2020, pursuant to a grant of restricted stock units issued on March 19, 2019.

Read SEC document
March 19, 2020 Filed Apr 1, 2020 20:20 UTC
Ewing Christopher J.EVP & Chief Operations Officer
Tax withholdingCommon Stock 866 $10.75 $9,309.50
Disclosure

SEC source: 0001568214-20-000013 · primary_doc.xml · nonDerivative · entry 2

Ewing Christopher J. · CIK 0001534147 · EVP & Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,349

F2 · shares: Reflects tax withholding of shares acquired on March 19, 2020, pursuant to a grant of restricted stock units issued on March 19, 2019.

Read SEC document
March 19, 2020 Filed Apr 1, 2020 13:29 UTC
Magennis ElizabethEVP & Chief Lending Officer
Tax withholdingCommon Stock 962 $10.75 $10,341.50
Disclosure

SEC source: 0001568214-20-000012 · primary_doc.xml · nonDerivative · entry 2

Magennis Elizabeth · CIK 0001568272 · EVP & Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,304

F2 · shares: Reflects tax withholding of shares acquired on March 19, 2020, pursuant to a grant of restricted stock units issued on March 19, 2019.

Read SEC document
March 19, 2020 Filed Apr 2, 2020 19:17 UTC
McGrover Michael J.FSVP & Chief Credit Officer
Tax withholdingCommon Stock 514 $10.75 $5,525.50
Disclosure

SEC source: 0001568214-20-000014 · primary_doc.xml · nonDerivative · entry 2

McGrover Michael J. · CIK 0001675247 · FSVP & Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,904.3888

F3 · shares: Reflects tax withholding of shares acquired on March 19, 2020, pursuant to a grant of restricted stock units issued on March 19, 2019.

Read SEC document
March 17, 2020 Filed Mar 18, 2020 19:27 UTC PurchaseCommon Stock 7,500 $12.04 $90,300.00
Disclosure

SEC source: 0001568214-20-000008 · primary_doc.xml · nonDerivative · entry 1

BAIER FRANK W · CIK 0001226353 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,733

Read SEC document
March 15, 2020 Filed Mar 31, 2020 21:08 UTC
Criscione LauraEVP & Chief Compliance Officer
Tax withholdingCommon Stock 254 $15.30 $3,886.20
Disclosure

SEC source: 0001568214-20-000011 · primary_doc.xml · nonDerivative · entry 1

Criscione Laura · CIK 0001568214 · EVP & Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,789

F1 · shares: Reflects tax withholding of shares acquired on March 15, 2020, pursuant to a grant of restricted stock units issued on March 15, 2018.

Read SEC document
March 15, 2020 Filed Mar 31, 2020 20:55 UTC
Burns William SEVP & Chief Financial Officer
Tax withholdingCommon Stock 524 $15.30 $8,017.20
Disclosure

SEC source: 0001568214-20-000010 · primary_doc.xml · nonDerivative · entry 1

Burns William S · CIK 0001458372 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,870

F1 · shares: Reflects tax withholding of shares acquired on March 15, 2020, pursuant to a grant of restricted stock units issued on March 15, 2018.

Read SEC document
March 15, 2020 Filed Mar 31, 2020 20:43 UTC
Sorrentino Frank IIIDirector · Chairman, President & CEO
Tax withholdingCommon Stock 1,914 $15.30 $29,284.20
Disclosure

SEC source: 0001568214-20-000009 · primary_doc.xml · nonDerivative · entry 1

Sorrentino Frank III · CIK 0001568273 · Director · Chairman, President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 703,352

F1 · shares: Reflects tax withholding of shares acquired on March 15, 2020 pursuant to a grant of restricted stock units issued on March 15, 2018.

Read SEC document
March 15, 2020 Filed Apr 1, 2020 20:20 UTC
Ewing Christopher J.EVP & Chief Operations Officer
Tax withholdingCommon Stock 434 $15.30 $6,640.20
Disclosure

SEC source: 0001568214-20-000013 · primary_doc.xml · nonDerivative · entry 1

Ewing Christopher J. · CIK 0001534147 · EVP & Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,215

F1 · shares: Reflects tax withholding of shares acquired on March 15, 2020, pursuant to a grant of restricted stock units issued on March 15, 2018.

Read SEC document
March 15, 2020 Filed Apr 1, 2020 13:29 UTC
Magennis ElizabethEVP & Chief Lending Officer
Tax withholdingCommon Stock 491 $15.30 $7,512.30
Disclosure

SEC source: 0001568214-20-000012 · primary_doc.xml · nonDerivative · entry 1

Magennis Elizabeth · CIK 0001568272 · EVP & Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,266

F1 · shares: Reflects tax withholding of shares acquired on March 15, 2020, pursuant to a grant of restricted stock units issued on March 15, 2018.

Read SEC document
March 15, 2020 Filed Apr 2, 2020 19:17 UTC
McGrover Michael J.FSVP & Chief Credit Officer
Tax withholdingCommon Stock 282 $15.30 $4,314.60
Disclosure

SEC source: 0001568214-20-000014 · primary_doc.xml · nonDerivative · entry 1

McGrover Michael J. · CIK 0001675247 · FSVP & Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,418.3888

F1 · shares: Reflects tax withholding of shares acquired on March 15, 2020, pursuant to a grant of restricted stock units issued on March 15, 2018.

F2 · balance_after: Includes 165.8468 shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan

Read SEC document
March 06, 2020 Filed Mar 10, 2020 13:30 UTC PurchaseCommon Stock 1,300 $19.82 $25,766.00
Disclosure

SEC source: 0001568214-20-000007 · primary_doc.xml · nonDerivative · entry 1

THOMPSON WILLIAM · CIK 0001089892 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,160.9911

F1 · balance_after: Also includes 45.8742 shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan.

Read SEC document
February 20, 2020 Filed Feb 24, 2020 14:25 UTC Exercise / conversionStock Option · Derivative 3,473 $0.00 Strike: $8.53 $0.00
Disclosure

SEC source: 0001568214-20-000006 · primary_doc.xml · derivative · entry 2

MINOIA NICHOLAS · CIK 0001450811 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,473 shares

Expires 2020-03-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 20, 2020 Filed Feb 24, 2020 14:25 UTC Exercise / conversionCommon Stock 3,473 $8.53 $29,624.69
Disclosure

SEC source: 0001568214-20-000006 · primary_doc.xml · nonDerivative · entry 1

MINOIA NICHOLAS · CIK 0001450811 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,686.7062

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 133.0631 shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan.

Read SEC document
January 28, 2020 Filed Jan 30, 2020 16:15 UTC Exercise / conversionStock Option · Derivative 3,473 $0.00 Strike: $9.11 $0.00
Disclosure

SEC source: 0001568214-20-000005 · primary_doc.xml · derivative · entry 4

THOMPSON WILLIAM · CIK 0001089892 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,473 shares

Expires 2021-03-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 28, 2020 Filed Jan 30, 2020 16:15 UTC Exercise / conversionCommon Stock 3,473 $9.11 $31,639.03
Disclosure

SEC source: 0001568214-20-000005 · primary_doc.xml · nonDerivative · entry 2

THOMPSON WILLIAM · CIK 0001089892 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,815.1169

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 28, 2020 Filed Jan 30, 2020 16:15 UTC SaleCommon Stock 3,278 $24.41 $80,015.98
Disclosure

SEC source: 0001568214-20-000005 · primary_doc.xml · nonDerivative · entry 1

THOMPSON WILLIAM · CIK 0001089892 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,342.1169

F1 · kind: 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 · balance_after: Also includes 140.5027 shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan.

Read SEC document
January 09, 2020 Filed Jan 9, 2020 22:12 UTC
Sorrentino Frank IIIDirector · Chairman, President & CEO
Exercise / conversionStock Option · Derivative 14,567 $0.00 Strike: $6.99 $0.00
Disclosure

SEC source: 0001568214-20-000003 · primary_doc.xml · derivative · entry 2

Sorrentino Frank III · CIK 0001568273 · Director · Chairman, President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 14,567 shares

Expires 2022-01-24

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 09, 2020 Filed Jan 9, 2020 22:12 UTC
Sorrentino Frank IIIDirector · Chairman, President & CEO
Exercise / conversionCommon Stock 14,567 $6.99 $101,823.33
Disclosure

SEC source: 0001568214-20-000003 · primary_doc.xml · nonDerivative · entry 1

Sorrentino Frank III · CIK 0001568273 · Director · Chairman, President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 705,266

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 14:53 UTC GrantCommon Stock 69,335 Not disclosed Not disclosed
Disclosure

SEC source: 0001568214-20-000002 · primary_doc.xml · nonDerivative · entry 1

Sokolich Mark · CIK 0001393119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,585

F1 · shares: Includes 65,036 shares of common stock held jointly with Mr. Sokolich's spouse, and 4,299 shares held in an IRA.

F2 · price: Received pursuant to the merger agreement between Issuer and Bancorp of New Jersey, Inc. ("BKJ") dated August 15, 2019 (the "Merger Agreement"), pursuant to which BKJ was merger with and into the Issuer on January 2, 2020. At the effective time of the merger, each share of BKJ's common stock converted into the right to receive either (i) $16.25 in cash or (ii) 0.780 of a share of the Issuer's common stock, subject to certain election and proration procedures. Mr. Sokolich elected to receive the Issuer's common stock in exchange for his BKJ shares, but the adjustments required pursuant to the Merger Agreement have yet to be finalized. Following completion of the required proration, Mr. Sokolich will amend this Form 4 to reflect the number of shares of Issuer common stock actually acquired. On the trading day immediately preceding closing, the closing price of BKJ's common stock was $17.89 per share, and the closing price of Issuer's common stock was $25.72 per share.

Read SEC document
January 02, 2020 Filed Jan 30, 2020 15:18 UTC Amendment GrantCommon Stock 67,881 Not disclosed Not disclosed
Disclosure

SEC source: 0001568214-20-000004 · primary_doc.xml · nonDerivative · entry 1

Sokolich Mark · CIK 0001393119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,131

F1 · shares: Includes 63,672 shares of common stock held jointly with Mr. Sokolich's spouse, and 4,209 shares held in an IRA.

F2 · price: Received pursuant to the merger agreement between Issuer and Bancorp of New Jersey, Inc. ("BKJ") dated August 15, 2019 (the "Merger Agreement"), pursuant to which BKJ was merged with and into the Issuer on January 2, 2020. At the effective time of the merger, each share of BKJ's common stock converted into the right to receive either (i) $16.25 in cash or (ii) 0.780 of a share of the Issuer's common stock, subject to certain election and proration procedures. Mr. Sokolich elected to receive the Issuer's common stock in exchange for his BKJ shares. On the trading day immediately preceding closing, the closing price of BKJ's common stock was $17.89 per share, and the closing price of Issuer's common stock was $25.72 per share.

Read SEC document
October 09, 2019 Filed Oct 9, 2019 21:16 UTC
Sorrentino Frank IIIDirector · Chairman, President & CEO
Exercise / conversionStock Option · Derivative 10,000 $0.00 Strike: $6.99 $0.00
Disclosure

SEC source: 0001568214-19-000041 · primary_doc.xml · derivative · entry 2

Sorrentino Frank III · CIK 0001568273 · Director · Chairman, President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,567

Underlying: Common Stock · 10,000 shares

Expires 2022-01-24

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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October 09, 2019 Filed Oct 9, 2019 21:16 UTC
Sorrentino Frank IIIDirector · Chairman, President & CEO
Exercise / conversionCommon Stock 10,000 $6.99 $69,900.00
Disclosure

SEC source: 0001568214-19-000041 · primary_doc.xml · nonDerivative · entry 1

Sorrentino Frank III · CIK 0001568273 · Director · Chairman, President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 690,699

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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September 12, 2019 Filed Sep 17, 2019 15:22 UTC GiftCommon Stock 9,000 $0.00 $0.00
Disclosure

SEC source: 0001568214-19-000040 · primary_doc.xml · nonDerivative · entry 1

Boswell Stephen T. · CIK 0001568224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 301,547.726

F1 · shares: This transaction reflects a charitable gift of 9,000 shares of Common Stock.

F2 · balance_after: Also includes 1,080.12 Shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan.

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August 27, 2019 Filed Aug 29, 2019 15:21 UTC PurchaseCommon Stock 5,000 $19.99 $99,950.00
Disclosure

SEC source: 0001568214-19-000039 · primary_doc.xml · nonDerivative · entry 1

BAIER FRANK W · CIK 0001226353 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,233

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August 20, 2019 Filed Aug 22, 2019 15:07 UTC PurchaseCommon Stock 10,500 $20.47 $214,956.00
Disclosure

SEC source: 0001568214-19-000038 · primary_doc.xml · nonDerivative · entry 1

Boswell Stephen T. · CIK 0001568224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 309,467.606

F1 · balance_after: Also includes 2,142.103 Shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan.

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April 30, 2019 Filed May 2, 2019 14:58 UTC SaleCommon Stock 1,500 $21.89 $32,835.00
Disclosure

SEC source: 0001568214-19-000037 · primary_doc.xml · nonDerivative · entry 1

Burns William S · CIK 0001458372 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,394

F1 · shares: The proceeds of the sale reported on this Form 4 were used by Mr. Burns to satisfy estimated personal income tax obligations with respect to the vesting of certain shares of restricted stock granted to Mr. Burns by the Issuer.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.