ConnectOne Bancorp (CNOB) director reports charitable gift of 7,707 shares

Rhea-AI Filing Summary

ConnectOne Bancorp director Michael W. Kempner reported a charitable gift of 7,707 shares of Common Stock. The bona fide gift, recorded at no per-share price, reduces his position but does not involve an open-market sale or cash proceeds.

Following this transaction, he holds 216,466.525 shares directly, including 9,803.525 shares acquired through the company’s Dividend Reinvestment & Optional Cash Purchase Plan. The filing also reflects a prior open-market sale of 67,800 shares at $14.7549 per share on an earlier date.

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^*

Kempner Michael W

(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
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/11/2020

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	08/11/2020		S		67,800	D	$14.7549	214,370	D
Common Stock	03/17/2026		G		7,707(1)	D	$0	216,466.525(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. This transaction reflects a charitable gift of 7,707 shares of Common Stock.

2. Includes 9,803.525 shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan

	/s/ Laura Criscione, POA	03/19/2026
	** 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 Michael W. Kempner report for ConnectOne Bancorp (CNOB)?

Michael W. Kempner reported a bona fide charitable gift of 7,707 shares of ConnectOne Bancorp Common Stock. The transaction carried no per-share price and represents a transfer of shares to charity rather than a market sale or purchase for cash.

How many ConnectOne Bancorp (CNOB) shares does Michael W. Kempner hold after the reported gift?

After the charitable gift, Michael W. Kempner directly holds 216,466.525 shares of ConnectOne Bancorp Common Stock. This total includes 9,803.525 shares acquired through the company’s Dividend Reinvestment & Optional Cash Purchase Plan, as described in the filing’s footnote.

Was the recent ConnectOne Bancorp (CNOB) insider transaction a sale or a gift?

The most recent insider transaction was a bona fide charitable gift of 7,707 shares, coded as a “G” transaction. It is classified as a disposition for reporting purposes but does not represent an open-market sale or generate cash proceeds for the reporting person.

What prior ConnectOne Bancorp (CNOB) transaction by Michael W. Kempner appears in the Form 4 data?

The data also shows a prior open-market sale of 67,800 shares of ConnectOne Bancorp Common Stock at $14.7549 per share. That earlier sale reduced his holdings at the time and is distinct from the more recent charitable gift transaction reported in the same dataset.

How many ConnectOne Bancorp (CNOB) shares were gifted charitably by the insider?

The filing reports a charitable gift of 7,707 shares of ConnectOne Bancorp Common Stock. A footnote clarifies that this transaction reflects a charitable donation of those shares, distinguishing it from routine market trading activity such as open-market purchases or sales.

Does the ConnectOne Bancorp (CNOB) Form 4 mention dividend reinvestment plan shares?

Yes. The Form 4 notes that Kempner’s post-transaction holdings include 9,803.525 shares acquired through the company’s Dividend Reinvestment & Optional Cash Purchase Plan. These shares are part of his total direct ownership after the reported charitable gift transaction.