ConnectOne EVP has shares withheld for taxes

ConnectOne Bancorp’s EVP & General Counsel Robert Allan Schwartz had shares withheld to cover taxes on equity compensation.

Rhea-AI Filing Summary

ConnectOne Bancorp’s EVP & General Counsel Robert Allan Schwartz had shares withheld to cover taxes on equity compensation. On March 20, 2026, 186 shares of common stock were disposed of as a tax-withholding transaction tied to the vesting of deferred stock units from a June 12, 2025 grant, not an open-market sale. After this event, he directly holds 41,703.83 common shares, which also include 109.55 shares acquired through a dividend reinvestment plan. The disclosure also corrects a prior clerical error by confirming the vesting occurred on March 20, 2026.

Insider Trade Summary

Exercise Price or Tax Liability: 186 shares

Exercise Price or Tax Liability 1 txn

Insider Schwartz Robert Allan

Role EVP & General Counsel

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	186	$25.95	$5K

Holdings After Transaction: Common Stock — 41,703.83 shares (Direct)

Footnotes (2)

1. F1. Reflects shares withheld for taxes upon the vesting of deferred stock units on March 20, 2026, pursuant to a grant dated June 12, 2025. Due to a clerical error, the reporting persons Form 4 filed on June 12, 2025 incorrectly stated that the deferred stock units vested on March 19, 2026, however, under the grant agreement, the vesting occurred on March 20, 2026, as reflected herein.
2. F2. Also includes 109.55 shares acquired under a dividend reinvestment plan.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did ConnectOne Bancorp (CNOB) report for Robert Allan Schwartz?

ConnectOne Bancorp’s EVP & General Counsel Robert Allan Schwartz had 186 shares of common stock withheld to cover taxes on vested deferred stock units. This was a tax-withholding disposition related to equity compensation, not an open-market purchase or sale of shares.

How many ConnectOne Bancorp (CNOB) shares does Robert Allan Schwartz hold after this transaction?

After the tax-withholding disposition, Robert Allan Schwartz holds 41,703.83 shares of ConnectOne Bancorp common stock. This total includes 109.55 shares that were previously acquired under a dividend reinvestment plan, reflecting his remaining direct ownership position.

Was the ConnectOne Bancorp (CNOB) insider transaction an open-market sale?

No, the transaction was not an open-market sale. The 186 shares were withheld by the company to satisfy tax obligations arising from the vesting of deferred stock units, a common administrative step in equity compensation rather than a discretionary sale in the market.

What equity grant triggered the tax withholding for ConnectOne Bancorp (CNOB) EVP Schwartz?

The tax withholding was triggered by the vesting of deferred stock units granted on June 12, 2025. Those units vested on March 20, 2026, which caused 186 shares of common stock to be withheld to pay associated taxes under the terms of the grant agreement.

Did ConnectOne Bancorp (CNOB) correct any prior reporting details about this equity award?

Yes. The disclosure explains that a previous report mistakenly stated the deferred stock units vested on March 19, 2026. Under the grant agreement, vesting actually occurred on March 20, 2026, and this update corrects that earlier clerical error.

How are dividend reinvestment plan shares reflected for ConnectOne Bancorp (CNOB) EVP Schwartz?

Schwartz’s total of 41,703.83 common shares includes 109.55 shares acquired under a dividend reinvestment plan. This indicates that some of his ownership has accumulated automatically through reinvested dividends rather than through separate market purchases.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 03/24/2026 - 02:04 PM EDT Learn about SEC filing dates

SEC Form 4

FORM 4

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
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^*

Schwartz Robert Allan

(Last) (First) (Middle)

C/O 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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	EVP & General Counsel

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
03/20/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form 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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	03/20/2026		F		186(1)	D	$25.95	41,703.83(2)	D

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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Reflects shares withheld for taxes upon the vesting of deferred stock units on March 20, 2026, pursuant to a grant dated June 12, 2025. Due to a clerical error, the reporting persons Form 4 filed on June 12, 2025 incorrectly stated that the deferred stock units vested on March 19, 2026, however, under the grant agreement, the vesting occurred on March 20, 2026, as reflected herein.

2. Also includes 109.55 shares acquired under a dividend reinvestment plan.

	/s/ Laura Criscione, POA	03/24/2026
	** Signature of Reporting Person	Date
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)