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  4. [Form 4] ConnectOne Bancorp, Inc. Insider Trading Activity

ConnectOne Bancorp (CNOB) CEO reports stock awards and tax withholding

Filing Impact
(Moderate)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

ConnectOne Bancorp Chairman & CEO Frank Sorrentino III reported compensation-related stock activity, not open-market trading. On March 25, 2026, he acquired 19,205 shares of common stock at $0.00 per share from earned performance units, with 11,523 shares withheld at $26.27 per share to cover tax obligations.

He also received a separate grant of 38,822 deferred stock units subject to forfeiture, vesting in three equal installments on 3/25/27, 3/25/28, and 3/25/29. Following these transactions, he directly owned 624,691 shares of common stock and held additional indirect interests, including 416 shares in an IRA for his spouse and 263,773 shares in a trust for the benefit of his spouse.

Positive

  • None.

Negative

  • None.

Insights

Routine equity awards to CNOB CEO with tax withholding; no open-market trades.

The transactions for Frank Sorrentino III reflect standard executive equity compensation. He received 19,205 shares from earned performance units and a separate grant of 38,822 deferred stock units, both at $0.00 per share, indicating awards rather than purchases.

The Form 4 also shows 11,523 shares withheld at $26.27 per share to satisfy tax liabilities, a non-market, mechanical disposition coded “F.” After these entries, he directly held 624,691 shares, plus indirect holdings via an IRA for his spouse and a spouse-benefit trust, underscoring continued substantial exposure to ConnectOne Bancorp equity.

Insider Sorrentino Frank III
Role Chairman & CEO
Type Security Shares Price Value
Grant/Award Common Stock 19,205 $0.00 --
Tax Withholding Common Stock 11,523 $26.27 $303K
Grant/Award Common Stock 38,822 $0.00 --
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 597,392 shares (Direct); Common Stock — 416 shares (Indirect, IRA for spouse)
Footnotes (1)
  1. Shares acquired pursuant to earned performance units granted on March 20, 2023. Reflects tax withholding of shares acquired pursuant to performance units reported in the immediately preceding line. Represents a grant of deferred stock units subject to forfeiture, vesting over a three-year period, with 1/3 vesting on 3/25/27, 1/3 vesting on 3/25/28, and the final 1/3 vesting on 3/25/29. Held in a trust for the benefit of the spouse of the Reporting Person, and of which the spouse of the Reporting Person is a trustee.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Sorrentino Frank III
(Last)(First)(Middle)
CONNECTONE BANCORP, INC.
301 SYLVAN AVENUE
(Street)
ENGLEWOOD CLIFFS NEW JERSEY 07632
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
ConnectOne Bancorp, Inc. [ CNOB ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
XOfficer (give title below)Other (specify below)
Chairman & CEO
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
03/25/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)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)
CodeVAmount(A) or (D)Price
Common Stock03/25/2026A19,205(1)A$0597,392D
Common Stock03/25/2026F11,523(2)D$26.27585,869D
Common Stock03/25/2026A38,822(3)A$0624,691D
Common Stock416IIRA for spouse
Common Stock263,773ISee Footnote 4(4)
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 (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)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 (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Shares acquired pursuant to earned performance units granted on March 20, 2023.
2. Reflects tax withholding of shares acquired pursuant to performance units reported in the immediately preceding line.
3. Represents a grant of deferred stock units subject to forfeiture, vesting over a three-year period, with 1/3 vesting on 3/25/27, 1/3 vesting on 3/25/28, and the final 1/3 vesting on 3/25/29.
4. Held in a trust for the benefit of the spouse of the Reporting Person, and of which the spouse of the Reporting Person is a trustee.
/s/ Laura Criscione, POA03/27/2026
** Signature of Reporting PersonDate
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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did CNOB CEO Frank Sorrentino acquire in this Form 4 filing?

Frank Sorrentino III received 19,205 shares of ConnectOne Bancorp common stock from earned performance units and a separate grant of 38,822 deferred stock units. These equity awards were compensation-related, with no open-market purchases reported in this filing.

How many CNOB shares were withheld for taxes in this Form 4?

The filing shows 11,523 shares of ConnectOne Bancorp common stock withheld at $26.27 per share to cover tax obligations. This tax-withholding disposition is coded “F” and does not represent an open-market sale by the CEO.

What are the vesting terms of the CEO’s new CNOB deferred stock units?

The CEO’s 38,822 deferred stock units vest over three years. One-third vests on March 25, 2027, another third on March 25, 2028, and the final third on March 25, 2029, and the units are subject to forfeiture before vesting.

How many CNOB shares does the CEO hold after these transactions?

After the reported transactions, Frank Sorrentino III directly holds 624,691 shares of ConnectOne Bancorp common stock. He also has indirect interests, including 416 shares in an IRA for his spouse and 263,773 shares in a trust benefiting his spouse.

Does this CNOB Form 4 show any open-market stock sales or purchases?

The Form 4 does not report any open-market purchases or sales. It shows compensation-related share awards and a tax-withholding disposition of 11,523 shares, which is a mechanical step to pay taxes rather than a discretionary market trade.

How are the indirect CNOB share holdings structured for the CEO?

Indirect holdings include 416 shares in an IRA for the CEO’s spouse and 263,773 shares in a trust for the benefit of his spouse, where the spouse serves as trustee. These positions supplement his direct ownership in ConnectOne Bancorp stock.