Insider Schwartz Files Form 4 on ConnectOne Bancorp

TL;DR

**Insider Robert Allan Schwartz filed a Form 4, signaling a change in his holdings.**

AI Summary

Robert Allan Schwartz, a reporting insider, filed a Form 4 on March 24, 2026, indicating a change in his beneficial ownership of securities. While the filing details aren't fully visible, a Form 4 typically reports transactions like stock purchases, sales, or option exercises. This matters to investors because insider activity can signal management's confidence (or lack thereof) in the company's future, potentially influencing stock price movements.

Why It Matters

Insider transaction filings like this can provide clues about how company executives view their own stock, which can be a valuable signal for other investors.

Risk Assessment

Risk Level: low — This filing merely reports a change in ownership and does not inherently indicate a high risk, though the underlying transaction could be significant.

Analyst Insight

An investor should look for the full details of the transaction within the primary document to understand the nature (buy/sell) and size of the change in ownership, as this will determine its significance.

Key Players & Entities

• Schwartz Robert Allan (person) — Reporting insider
• ConnectOne Bancorp, Inc. (company) — Issuer of securities
• 0001258612 (person) — CIK of Robert Allan Schwartz
• 001-40751 (company) — File number for ConnectOne Bancorp

FAQ

Filing Documents

• primary_doc.html (4)
• primary_doc.xml (4) — 4KB
• 0001619964-26-000005.txt ( ) — 5KB

From the Filing

SEC FORM 4 SEC Form 4 FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response: 0.5    Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).    Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. 1. Name and Address of Reporting Person * Schwartz Robert Allan (Last) (First) (Middle) C/O CONNECTONE BANCORP, INC. 301 SYLVAN AVENUE (Street) ENGLEWOOD CLIFFS NEW JERSEY 07632 (City) (State) (Zip) UNITED STATES (Country) 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 & General Counsel 2a. Foreign Trading Symbol 3. Date of Earliest Transaction (Month/Day/Year) 03/20/2026 6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person 4. If Amendment, Date of Original Filed (Month/Day/Year) 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 03/20/2026 F 186 (1) D $ 25.95 41,703.83 (2) 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. Reflects shares withheld for taxes upon the vesting of deferred stock units on March 20, 2026, pursuant to a grant dated June 12, 2025. Due to a clerical error, the reporting persons Form 4 filed on June 12, 2025 incorrectly stated that the deferred stock units vested on March 19, 2026, however, under the grant agreement, the vesting occurred on March 20, 2026, as reflected herein. 2. Also includes 109.55 shares acquired under a dividend reinvestment plan. /s/ Laura Criscione, POA 03/24/2026 ** 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). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. * Form 4: SEC 1474 (03-26)

View Full Filing

View this 4 filing on SEC EDGAR