ConnectOne (CNOB) CEO has 21,909 shares withheld for taxes

Rhea-AI Filing Summary

ConnectOne Bancorp Chairman & CEO Frank Sorrentino III reported tax-related share dispositions tied to vested deferred stock units. A total of 21,909 shares of common stock were withheld to cover tax obligations on March 20 and March 23, 2026 at prices around $25.95–$26.72 per share.

After these withholdings, he held 578,187 shares directly, plus additional indirect holdings including 263,773 shares in a trust for his spouse and 416 shares in an IRA for his spouse.

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

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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)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chairman & CEO

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		9,882(1)	D	$25.95	590,214	D
Common Stock	03/20/2026		F		6,275(2)	D	$25.95	583,939	D
Common Stock	03/23/2026		F		5,752(3)	D	$26.72	578,187	D
Common Stock								416	I	IRA for spouse
Common Stock								263,773	I	See 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)
				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 March 20, 2023.

2. Reflects shares withheld for taxes upon the vesting of deferred stock units on March 20, 2026 pursuant to a grant dated March 20, 2025.

3. Reflects shares withheld for taxes upon the vesting of deferred stock units on March 23, 2026 (the first business day following the Sunday, March 22, 2026 vesting date) pursuant to a grant dated March 22, 2024.

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, 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)

FAQ

What insider transaction did CNOB Chairman & CEO Frank Sorrentino report?

Frank Sorrentino reported tax-related share dispositions. A total of 21,909 common shares of ConnectOne Bancorp were withheld to cover taxes upon vesting of deferred stock units on March 20 and March 23, 2026.

Were the CNOB insider transactions open-market sales or tax withholdings?

The CNOB insider transactions were tax withholdings, not open-market sales. Shares were withheld to pay tax liabilities upon vesting of deferred stock units granted in 2023, 2024, and 2025, according to the disclosed footnotes.

How many ConnectOne Bancorp shares does Frank Sorrentino hold after these transactions?

After these transactions, Frank Sorrentino held 578,187 shares directly. He also had indirect holdings of 263,773 shares in a trust for his spouse and 416 shares in an IRA for his spouse, as reported in the filing.

What prices were used for the CNOB tax-withholding share dispositions?

The tax-withholding dispositions used prices of $25.95 and $26.72 per share. These prices were applied to 21,909 ConnectOne Bancorp common shares withheld to satisfy tax obligations when deferred stock units vested in March 2026.

What equity awards triggered the CNOB tax-withholding share dispositions?

The share withholdings were triggered by the vesting of deferred stock units. Footnotes state they relate to grants dated March 20, 2023, March 20, 2025, and March 22, 2024, which vested on March 20 and March 22, 2026.

Does the CNOB Form 4 indicate any remaining derivative or option positions for Frank Sorrentino?

The Form 4 derivative summary shows no remaining derivative positions in this filing. All reported activity involves non-derivative common stock and tax-withholding dispositions tied to vesting deferred stock units, with no option exercises disclosed.