ConnectOne Bancorp, Inc. — Director's Dealing 2020

Jan 3, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ConnectOne Bancorp, Inc. (CNOB)
CIK: 0000712771
Period of Report: 2020-01-02

Reporting Person: Sokolich Mark (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-01-02	Common Stock	A	69335	—	Acquired	84585	Direct

Footnotes

F1: Includes 65,036 shares of common stock held jointly with Mr. Sokolich's spouse, and 4,299 shares held in an IRA.

F2: Received pursuant to the merger agreement between Issuer and Bancorp of New Jersey, Inc. ("BKJ") dated August 15, 2019 (the "Merger Agreement"), pursuant to which BKJ was merger with and into the Issuer on January 2, 2020. At the effective time of the merger, each share of BKJ's common stock converted into the right to receive either (i) $16.25 in cash or (ii) 0.780 of a share of the Issuer's common stock, subject to certain election and proration procedures. Mr. Sokolich elected to receive the Issuer's common stock in exchange for his BKJ shares, but the adjustments required pursuant to the Merger Agreement have yet to be finalized. Following completion of the required proration, Mr. Sokolich will amend this Form 4 to reflect the number of shares of Issuer common stock actually acquired. On the trading day immediately preceding closing, the closing price of BKJ's common stock was $17.89 per share, and the closing price of Issuer's common stock was $25.72 per share.