ConnectOne Bancorp (CNOB) EVP granted 9,250 deferred stock units

Rhea-AI Filing Summary

Schwartz Robert Allan reported acquisition or exercise transactions in this Form 4 filing.

ConnectOne Bancorp EVP & General Counsel Robert Allan Schwartz received an award of 9,250 shares of Common Stock as deferred stock units. The grant is subject to forfeiture and will vest in three equal installments on March 25, 2027, 2028, and 2029. Following this award, Schwartz directly holds 50,953.83 shares.

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

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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^*

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)
03/25/2026

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		9,250(1)	A	$0	50,953.83	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. 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)

FAQ

What insider transaction did CNOB report for Robert Allan Schwartz?

ConnectOne Bancorp reported that EVP & General Counsel Robert Allan Schwartz received 9,250 deferred stock units of Common Stock as a compensation award. These units are granted at no purchase price and increase his direct holdings to 50,953.83 shares after the transaction.

Is the CNOB insider transaction an open-market purchase or a grant?

The CNOB transaction is a grant of deferred stock units, not an open-market purchase. Schwartz received 9,250 units at a price of $0.00 per share as part of his compensation, rather than buying shares on the public market.

How do the 9,250 CNOB deferred stock units vest for Robert Allan Schwartz?

The 9,250 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 grant is subject to forfeiture until vested.

What are Robert Allan Schwartz’s CNOB share holdings after this Form 4?

After this award, Robert Allan Schwartz directly holds 50,953.83 shares of ConnectOne Bancorp Common Stock. This total includes the newly granted 9,250 deferred stock units, which will vest in three equal annual installments beginning March 25, 2027.

Does the CNOB Form 4 indicate any insider selling activity?

The Form 4 for CNOB shows no insider selling by Robert Allan Schwartz. It reports only an acquisition of 9,250 deferred stock units as a grant, with no dispositions, tax withholdings, or open-market sales disclosed in this filing.