ConnectOne Bancorp (CNOB) Form 4 ConnectOne Bancorp / Elizabeth Magennis ownership change

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Magennis Elizabeth

(Last) (First) (Middle)

CONNECTONE BANCORP, INC.

301 SYLVAN AVENUE

(Street)

ENGLEWOOD CLIFFS NJ 07632

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
ConnectOne Bancorp, Inc. [ CNOB ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
EVP & Bank President

3. Date of Earliest Transaction (Month/Day/Year)
03/20/2023

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	03/20/2023		A		14,274(1)	A	$0	115,082	D
Common Stock	03/20/2023		A		17,549(2)	A	$0	132,631	D
Common Stock	03/20/2023		F		8,774(3)	D	$17.93	123,857	D
Common Stock	03/20/2023		F		2,925(4)	D	$17.93	120,932	D
Common Stock	03/23/2023		F		1,115(5)	D	$17.35	119,817	D
Common Stock	03/27/2023		F		1,144(6)	D	$18	118,673	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

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

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

4. 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.

5. 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.

6. 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	03/28/2023
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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