0001568214-23-000006.txt : 20230328 0001568214-23-000006.hdr.sgml : 20230328 20230328213903 ACCESSION NUMBER: 0001568214-23-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230320 FILED AS OF DATE: 20230328 DATE AS OF CHANGE: 20230328 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sorrentino Frank III CENTRAL INDEX KEY: 0001568273 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40751 FILM NUMBER: 23771547 MAIL ADDRESS: STREET 1: CONNECTONE BANCORP, INC. STREET 2: 301 SYLVAN AVENUE CITY: ENGLEWOOD CLIFFS STATE: NJ ZIP: 07632 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ConnectOne Bancorp, Inc. CENTRAL INDEX KEY: 0000712771 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 521273725 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 301 SYLVAN AVENUE CITY: ENGLEWOOD CLIFFS STATE: NJ ZIP: 07632 BUSINESS PHONE: 2018168900 MAIL ADDRESS: STREET 1: 301 SYLVAN AVENUE CITY: ENGLEWOOD CLIFFS STATE: NJ ZIP: 07632 FORMER COMPANY: FORMER CONFORMED NAME: CENTER BANCORP INC DATE OF NAME CHANGE: 19920703 4 1 primary_doc.xml PRIMARY DOCUMENT X0407 4 2023-03-20 0 0000712771 ConnectOne Bancorp, Inc. CNOB 0001568273 Sorrentino Frank III CONNECTONE BANCORP, INC. 301 SYLVAN AVENUE ENGLEWOOD CLIFFS NJ 07632 1 1 0 0 Chairman, President & CEO 0 Common Stock 2023-03-20 4 A 0 49411 0 A 821354 D Common Stock 2023-03-20 4 A 0 57452 0 A 878806 D Common Stock 2023-03-20 4 F 0 34471 17.93 D 844335 D Common Stock 2023-03-20 4 F 0 11491 17.93 D 832844 D Common Stock 2023-03-23 4 F 0 4086 17.35 D 828758 D Common Stock 2023-03-27 4 F 0 4528 18 D 824230 D Common Stock 416 I IRA for spouse 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. Shares acquired pursuant to earned performance units granted on March 20, 2020. Reflects tax withholding of shares acquired pursuant to performance units reported in the immediately preceding line. 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. 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. 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. /s/ Laura Criscione, POA 2023-03-28