Form 4 for CNOB ConnectOne Bancorp, Inc.
Accepted 2023-03-28 00:00:00 ET · period of report 2023-03-20 · accession 0001568214-23-000006 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| M | 2023-03-28 | 2023-03-20 | CNOB | Sorrentino Frank III | COB, Pres, CEO, Dir | A - Grant | $0.00 | +106.9K | 878.8K | +14% | $0 |
| M | 2023-03-28 | 2023-03-20+ | CNOB | Sorrentino Frank III | COB, Pres, CEO, Dir | F - Tax | $17.89 | -54.6K | 824.2K | -6% | -$976.5K |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-03-20 | A | A | 49,411 | $0.00 | 821,354 | D | — | — | (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. |
| 2 | Common | Common Stock | 2023-03-23 | F | D | 4,086 | $17.35 | 828,758 | D | — | — | (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. |
| 3 | Common | Common Stock | 2023-03-20 | F | D | 11,491 | $17.93 | 832,844 | D | — | — | (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. |
| 4 | Common | Common Stock | 2023-03-20 | F | D | 34,471 | $17.93 | 844,335 | D | — | — | (F3) Reflects tax withholding of shares acquired pursuant to performance units reported in the immediately preceding line. |
| 5 | Common | Common Stock | 2023-03-27 | F | D | 4,528 | $18.00 | 824,230 | D | — | — | (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. |
| 6 | Common | Common Stock | 2023-03-20 | A | A | 57,452 | $0.00 | 878,806 | D | — | — | (F2) Shares acquired pursuant to earned performance units granted on March 20, 2020. |