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ConnectOne Bancorp, Inc. — Director's Dealing 2021
Mar 25, 2021
32054_dirs_2021-03-25_ecaaa89e-481e-4127-99a7-9e97e2e1eb5b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ConnectOne Bancorp, Inc. (CNOB)
CIK: 0000712771
Period of Report: 2021-03-15
Reporting Person: Sorrentino Frank III (Director, Chairman, President & CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-03-15 | Common Stock | F | 2392 | $26.57 | Disposed | 776034 | Direct |
| 2021-03-19 | Common Stock | F | 9575 | $26.45 | Disposed | 771945 | Direct |
| 2021-03-19 | Common Stock | F | 7279 | $26.45 | Disposed | 762370 | Direct |
| 2021-03-23 | Common Stock | A | 14354 | — | Acquired | 776724 | Direct |
| 2021-03-23 | Common Stock | F | 7117 | $25.24 | Disposed | 769547 | Direct |
| 2021-03-23 | Common Stock | A | 20429 | — | Acquired | 789976 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 416 | Indirect |
Footnotes
F1: Reflects tax withholding of shares vested on March 15, 2021 pursuant to a grant of restricted stock units issued on March 15, 2018.
F2: Reflects tax withholding of shares vested on March 19, 2021, pursuant to a grant of restricted stock units issued on March 19, 2019
F3: Reflects tax withholding of shares vested on March 19, 2021 pursuant to a grant of restricted stock units issued on March 20, 2020
F4: Shares acquired pursuant to earned performance units granted on March 23, 2018
F5: Reflects tax withholding of shares acquired pursuant to performance units reported above.
F6: Represents a grant of restricted stock units subject to forfeiture, vesting over a three-year period, with 1/3 vesting on 3/23/22, 1/3 vesting on 3/23/23, and the final 1/3 vesting on 3/23/24.