Frank Sorrentino III - Mar 20, 2023 Form 4 Insider Report for ConnectOne Bancorp, Inc. (CNOB)

Role
Chairman, President & CEO, Director
Signature
/s/ Laura Criscione, POA
Stock symbol
CNOB
Transactions as of
Mar 20, 2023
Transactions value $
-$976,495
Form type
4
Date filed
3/28/2023, 09:39 PM
Previous filing
Apr 5, 2022
Next filing
Mar 22, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CNOB Common Stock Award $0 +49.4K +6.4% $0.00 821K Mar 20, 2023 Direct F1
transaction CNOB Common Stock Award $0 +57.5K +6.99% $0.00 879K Mar 20, 2023 Direct F2
transaction CNOB Common Stock Tax liability -$618K -34.5K -3.92% $17.93 844K Mar 20, 2023 Direct F3
transaction CNOB Common Stock Tax liability -$206K -11.5K -1.36% $17.93 833K Mar 20, 2023 Direct F4
transaction CNOB Common Stock Tax liability -$70.9K -4.09K -0.49% $17.35 829K Mar 23, 2023 Direct F5
transaction CNOB Common Stock Tax liability -$81.5K -4.53K -0.55% $18.00 824K Mar 27, 2023 Direct F6
holding CNOB Common Stock 416 Mar 20, 2023 IRA for spouse
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents a grant of deferred stock units subject to forfeiture, vesting over a three-year period, with 1/3 vesting on 3/20/24, 1/3 vesting on 3/20/25, and the final 1/3 vesting on 3/20/26.
F2 Shares acquired pursuant to earned performance units granted on March 20, 2020.
F3 Reflects tax withholding of shares acquired pursuant to performance units reported in the immediately preceding line.
F4 Reflects tax withholding on March 20, 2023 with respect to shares vested on March 20, 2023 pursuant to a grant of deferred stock units on March 20, 2020.
F5 Reflects tax withholding on March 23, 2023 with respect to shares vested on March 23, 2023 pursuant to a grant of deferred stock units on March 23, 2021.
F6 Reflects tax withholding on March 27, 2023 with respect to shares vested on March 25, 2023 pursuant to a grant of deferred stock units on March 25, 2022.