ConnectOne Bancorp, Inc. — Director's Dealing 2023

Mar 28, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ConnectOne Bancorp, Inc. (CNOB)
CIK: 0000712771
Period of Report: 2023-03-20

Reporting Person: Sorrentino Frank III (Director, Chairman, President & CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-03-20	Common Stock	A	49411	—	Acquired	821354	Direct
2023-03-20	Common Stock	A	57452	—	Acquired	878806	Direct
2023-03-20	Common Stock	F	34471	$17.93	Disposed	844335	Direct
2023-03-20	Common Stock	F	11491	$17.93	Disposed	832844	Direct
2023-03-23	Common Stock	F	4086	$17.35	Disposed	828758	Direct
2023-03-27	Common Stock	F	4528	$18	Disposed	824230	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	416	Indirect

Footnotes

F1: Represents a grant of deferred stock units subject to forfeiture, vesting over a three-year period, with 1/3 vesting on 3/20/24, 1/3 vesting on 3/20/25, and the final 1/3 vesting on 3/20/26.

F2: Shares acquired pursuant to earned performance units granted on March 20, 2020.

F3: Reflects tax withholding of shares acquired pursuant to performance units reported in the immediately preceding line.

F4: Reflects tax withholding on March 20, 2023 with respect to shares vested on March 20, 2023 pursuant to a grant of deferred stock units on March 20, 2020.

F5: Reflects tax withholding on March 23, 2023 with respect to shares vested on March 23, 2023 pursuant to a grant of deferred stock units on March 23, 2021.

F6: Reflects tax withholding on March 27, 2023 with respect to shares vested on March 25, 2023 pursuant to a grant of deferred stock units on March 25, 2022.