CNOB CFO receives stock awards, tax shares withheld

ConnectOne Bancorp Senior EVP & CFO William S. Burns reported compensation-related stock transactions involving the company’s common stock.

Rhea-AI Filing Summary

ConnectOne Bancorp Senior EVP & CFO William S. Burns reported compensation-related stock transactions involving the company’s common stock. He acquired 5,157 shares pursuant to earned performance units granted on March 20, 2023, then had 2,578 of those shares withheld at a price of $26.27 per share to cover tax obligations.

Burns also received a separate grant of 11,162 deferred stock units at no cost. These units are subject to forfeiture and vest over three years, with one-third vesting on 3/25/27, one-third on 3/25/28, and the final third on 3/25/29. Following these transactions, he directly holds 137,182 shares of ConnectOne Bancorp common stock.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Burns William S

Role Senior EVP & CFO

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	5,157	$0.00	$0.00
Exercise Price or Tax Liability	Common Stock	2,578	$26.27	$68K
Grant/Award	Common Stock	11,162	$0.00	$0.00

Holdings After Transaction: Common Stock — 137,182 shares (Direct)

Footnotes (3)

1. F1. Shares acquired pursuant to earned performance units granted on March 20, 2023.
2. F2. Reflects tax withholding of shares acquired pursuant to performance units reported in the immediately preceding line.
3. F3. 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.

FAQ

What insider transactions did CNOB CFO William S. Burns report on March 25, 2026?

CNOB’s CFO William S. Burns reported acquiring 5,157 common shares from earned performance units and receiving 11,162 deferred stock units. He also had 2,578 shares withheld at $26.27 per share to satisfy tax obligations related to the performance unit award.

Were the CNOB insider transactions by William S. Burns open-market buys or sells?

The CNOB transactions were compensation-related, not open-market trades. Burns received stock from earned performance units and a deferred stock unit grant, while 2,578 shares were disposed of only as tax withholding, not as discretionary sales in the open market.

How many ConnectOne Bancorp shares does CFO William S. Burns hold after these Form 4 transactions?

After the reported transactions, William S. Burns directly holds 137,182 shares of ConnectOne Bancorp common stock. This figure reflects the grants received and the shares withheld to cover taxes tied to the earned performance unit award.

What is the structure of the new deferred stock unit grant reported by CNOB’s CFO?

Burns received 11,162 deferred stock units that are subject to forfeiture and 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, assuming continued service and conditions.

Why were 2,578 CNOB shares disposed of in William S. Burns’ Form 4 filing?

The 2,578 shares were withheld at $26.27 per share to cover tax liabilities arising from shares acquired through earned performance units. This tax-withholding disposition is a common, non-market mechanism and does not represent an open-market sale of CNOB stock.

What was the origin of the 5,157 ConnectOne Bancorp shares acquired by the CFO?

The 5,157 shares of ConnectOne Bancorp common stock were acquired upon the earning of performance units originally granted on March 20, 2023. These units converted into shares after performance conditions were met, resulting in a stock-based compensation award.

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Accepted by SEC EDGAR 03/27/2026 - 10:56 AM 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^*

Burns William S

(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)
	Senior EVP & CFO

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
03/25/2026

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	03/25/2026		A		5,157(1)	A	$0	128,598	D
Common Stock	03/25/2026		F		2,578(2)	D	$26.27	126,020	D
Common Stock	03/25/2026		A		11,162(3)	A	$0	137,182	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. 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.

	/s/ Laura Criscione, POA	03/27/2026
	** 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)