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Nasdaq · USD

CNOB

ConnectOne Bancorp, Inc.

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Tapewire entity
4669
SEC CIK
0000712771
Parsed reports
330

Last 12 months

Inside the activity.

3 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202630
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
November 20, 2023 Filed Nov 20, 2023 15:55 UTC GiftCommon Stock 8,000 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000026 · primary_doc.xml · nonDerivative · entry 2

Boswell Stephen T. · CIK 0001568224 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,709.789

F2 · shares: This transaction reflects a charitable gift of 8,000 shares of Common Stock.

Read SEC document
November 16, 2023 Filed Nov 20, 2023 15:55 UTC PurchaseCommon Stock 8,000 $18.95 $151,579.20
Disclosure

SEC source: 0001568214-23-000026 · primary_doc.xml · nonDerivative · entry 1

Boswell Stephen T. · CIK 0001568224 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,709.789

F1 · balance_after: Also includes 973.005 Shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan.

Read SEC document
August 15, 2023 Filed Aug 17, 2023 13:48 UTC PurchaseCommon Stock 2,000 $20.25 $40,493.40
Disclosure

SEC source: 0001568214-23-000025 · primary_doc.xml · nonDerivative · entry 1

THOMPSON WILLIAM · CIK 0001089892 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,849.7607

F1 · balance_after: Also includes 156.7422 shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan

Read SEC document
August 09, 2023 Filed Aug 11, 2023 16:10 UTC SaleCommon Stock 47,500 $20.70 $983,444.75
Disclosure

SEC source: 0001568214-23-000024 · primary_doc.xml · nonDerivative · entry 1

Kempner Michael W · CIK 0001488604 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 276,338

Read SEC document
June 01, 2023 Filed Jun 5, 2023 20:07 UTC GrantCommon Stock 4,253 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000023 · primary_doc.xml · nonDerivative · entry 1

Moise Anson M. · CIK 0001861682 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,769

F1 · shares: Represents a grant of restricted stock subject to forfeiture, vesting in full on May 1, 2024

Read SEC document
June 01, 2023 Filed Jun 5, 2023 20:04 UTC GrantCommon Stock 4,253 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000022 · primary_doc.xml · nonDerivative · entry 1

Huttle Frank III · CIK 0001568217 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,165

F1 · shares: Represents a grant of restricted stock subject to forfeiture, vesting in full on May 1, 2024

Read SEC document
June 01, 2023 Filed Jun 5, 2023 16:16 UTC GrantCommon Stock 4,253 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000021 · primary_doc.xml · nonDerivative · entry 1

Nukk-Freeman Katherin · CIK 0001759127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,779

F1 · shares: Represents a grant of restricted stock subject to forfeiture, vesting in full on May 1, 2024

Read SEC document
June 01, 2023 Filed Jun 5, 2023 15:42 UTC GrantCommon Stock 4,253 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000020 · primary_doc.xml · nonDerivative · entry 1

THOMPSON WILLIAM · CIK 0001089892 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,693.0185

F1 · shares: Represents a grant of restricted stock subject to forfeiture, vesting in full on May 1, 2024

F2 · balance_after: Also includes 81.9783 shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan

Read SEC document
June 01, 2023 Filed Jun 5, 2023 15:26 UTC GrantCommon Stock 4,253 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000019 · primary_doc.xml · nonDerivative · entry 1

Boswell Stephen T. · CIK 0001568224 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,736.784

F1 · shares: Represents a grant of restricted stock subject to forfeiture, vesting in full on May 1, 2024

Read SEC document
June 01, 2023 Filed Jun 5, 2023 15:08 UTC GrantCommon Stock 4,253 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000018 · primary_doc.xml · nonDerivative · entry 1

MINOIA NICHOLAS · CIK 0001450811 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,983.8961

F1 · shares: Represents a grant of restricted stock subject to forfeiture, vesting in full on May 1, 2024

F2 · balance_after: Includes 209.0609 shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 15:02 UTC GrantCommon Stock 4,253 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000017 · primary_doc.xml · nonDerivative · entry 1

Kempner Michael W · CIK 0001488604 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 323,838

F1 · shares: Represents a grant of restricted stock subject to forfeiture, vesting in full on May 1, 2024

Read SEC document
June 01, 2023 Filed Jun 5, 2023 14:51 UTC GrantCommon Stock 4,253 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000016 · primary_doc.xml · nonDerivative · entry 1

Sokolich Mark · CIK 0001393119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,564.0474

F1 · shares: Represents a grant of restricted stock subject to forfeiture, vesting in full on May 1, 2024

F2 · balance_after: Also includes 191.6647 Shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan

Read SEC document
June 01, 2023 Filed Jun 5, 2023 14:41 UTC GrantCommon Stock 4,253 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000015 · primary_doc.xml · nonDerivative · entry 1

BAIER FRANK W · CIK 0001226353 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,882

F1 · shares: Represents a grant of restricted stock subject to forfeiture, vesting in full on May 1, 2024

Read SEC document
June 01, 2023 Filed Jun 5, 2023 14:36 UTC GrantCommon Stock 4,253 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000014 · primary_doc.xml · nonDerivative · entry 1

Rifkin Daniel E · CIK 0001762603 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 198,421

F1 · shares: Represents a grant of restricted stock subject to forfeiture, vesting in full on May 1, 2024

Read SEC document
June 01, 2023 Filed Mar 20, 2024 14:54 UTC Amendment GrantCommon Stock 4,253 $0.00 $0.00
Disclosure

SEC source: 0001568214-24-000001 · primary_doc.xml · nonDerivative · entry 1

Sokolich Mark · CIK 0001393119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,981.3307

F1 · shares: Represents a grant of restricted stock subject to forfeiture, vesting in full on May 1, 2024

F2 · balance_after: Also includes 3,608.95 Shares acquired through the Company's Dividend Reinvestment & Optional Cash Purchase Plan.

Read SEC document
May 26, 2023 Filed May 30, 2023 16:30 UTC PurchaseCommon Stock 5,000 $13.85 $69,239.50
Disclosure

SEC source: 0001568214-23-000013 · primary_doc.xml · nonDerivative · entry 1

Rifkin Daniel E · CIK 0001762603 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 194,168

Read SEC document
May 08, 2023 Filed May 8, 2023 19:45 UTC
Ewing Christopher J.EVP & Chief Operations Officer
PurchaseCommon Stock 350 $14.50 $5,075.00
Disclosure

SEC source: 0001568214-23-000012 · primary_doc.xml · nonDerivative · entry 1

Ewing Christopher J. · CIK 0001534147 · EVP & Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,377

Read SEC document
March 27, 2023 Filed Mar 29, 2023 01:55 UTC
Magennis ElizabethEVP & Bank President
Tax withholdingCommon Stock 1,144 $18.00 $20,592.00
Disclosure

SEC source: 0001568214-23-000008 · primary_doc.xml · nonDerivative · entry 6

Magennis Elizabeth · CIK 0001568272 · EVP & Bank President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 118,673

F6 · shares: 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.

Read SEC document
March 27, 2023 Filed Mar 29, 2023 01:47 UTC
Burns William SSenior EVP & CFO
Tax withholdingCommon Stock 1,064 $18.00 $19,152.00
Disclosure

SEC source: 0001568214-23-000007 · primary_doc.xml · nonDerivative · entry 6

Burns William S · CIK 0001458372 · Senior EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 114,258

F6 · shares: 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.

Read SEC document
March 27, 2023 Filed Mar 29, 2023 01:39 UTC
Sorrentino Frank IIIDirector · Chairman, President & CEO
Tax withholdingCommon Stock 4,528 $18.00 $81,504.00
Disclosure

SEC source: 0001568214-23-000006 · primary_doc.xml · nonDerivative · entry 6

Sorrentino Frank III · CIK 0001568273 · Director · Chairman, President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 824,230

F6 · shares: 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.

Read SEC document
March 27, 2023 Filed Mar 29, 2023 14:22 UTC
O'Malley MichaelEVP & Chief Risk Officer
Tax withholdingCommon Stock 467 $18.00 $8,406.00
Disclosure

SEC source: 0001568214-23-000011 · primary_doc.xml · nonDerivative · entry 2

O'Malley Michael · CIK 0001849304 · EVP & Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,722

F2 · shares: 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.

Read SEC document
March 27, 2023 Filed Mar 29, 2023 14:18 UTC
Ewing Christopher J.EVP & Chief Operations Officer
Tax withholdingCommon Stock 892 $18.00 $16,056.00
Disclosure

SEC source: 0001568214-23-000010 · primary_doc.xml · nonDerivative · entry 6

Ewing Christopher J. · CIK 0001534147 · EVP & Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,027

F6 · shares: 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.

Read SEC document
March 27, 2023 Filed Mar 29, 2023 14:08 UTC
Criscione LauraEVP & Chief Compliance Officer
Tax withholdingCommon Stock 434 $18.00 $7,812.00
Disclosure

SEC source: 0001568214-23-000009 · primary_doc.xml · nonDerivative · entry 6

Criscione Laura · CIK 0001568214 · EVP & Chief Compliance Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 96,339

F6 · shares: 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.

Read SEC document
March 23, 2023 Filed Mar 29, 2023 01:55 UTC
Magennis ElizabethEVP & Bank President
Tax withholdingCommon Stock 1,115 $17.35 $19,345.25
Disclosure

SEC source: 0001568214-23-000008 · primary_doc.xml · nonDerivative · entry 5

Magennis Elizabeth · CIK 0001568272 · EVP & Bank President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 119,817

F5 · shares: 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.

Read SEC document
March 23, 2023 Filed Mar 29, 2023 01:47 UTC
Burns William SSenior EVP & CFO
Tax withholdingCommon Stock 1,065 $17.35 $18,477.75
Disclosure

SEC source: 0001568214-23-000007 · primary_doc.xml · nonDerivative · entry 5

Burns William S · CIK 0001458372 · Senior EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 115,322

F5 · shares: 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.

Read SEC document
March 23, 2023 Filed Mar 29, 2023 01:39 UTC
Sorrentino Frank IIIDirector · Chairman, President & CEO
Tax withholdingCommon Stock 4,086 $17.35 $70,892.10
Disclosure

SEC source: 0001568214-23-000006 · primary_doc.xml · nonDerivative · entry 5

Sorrentino Frank III · CIK 0001568273 · Director · Chairman, President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 828,758

F5 · shares: 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.

Read SEC document
March 23, 2023 Filed Mar 29, 2023 14:18 UTC
Ewing Christopher J.EVP & Chief Operations Officer
Tax withholdingCommon Stock 892 $17.35 $15,476.20
Disclosure

SEC source: 0001568214-23-000010 · primary_doc.xml · nonDerivative · entry 5

Ewing Christopher J. · CIK 0001534147 · EVP & Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,919

F5 · shares: 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.

Read SEC document
March 23, 2023 Filed Mar 29, 2023 14:08 UTC
Criscione LauraEVP & Chief Compliance Officer
Tax withholdingCommon Stock 538 $17.35 $9,334.30
Disclosure

SEC source: 0001568214-23-000009 · primary_doc.xml · nonDerivative · entry 5

Criscione Laura · CIK 0001568214 · EVP & Chief Compliance Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 96,773

F5 · shares: 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.

Read SEC document
March 20, 2023 Filed Mar 29, 2023 01:55 UTC
Magennis ElizabethEVP & Bank President
Tax withholdingCommon Stock 2,925 $17.93 $52,445.25
Disclosure

SEC source: 0001568214-23-000008 · primary_doc.xml · nonDerivative · entry 4

Magennis Elizabeth · CIK 0001568272 · EVP & Bank President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,932

F4 · shares: 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.

Read SEC document
March 20, 2023 Filed Mar 29, 2023 01:55 UTC
Magennis ElizabethEVP & Bank President
Tax withholdingCommon Stock 8,774 $17.93 $157,317.82
Disclosure

SEC source: 0001568214-23-000008 · primary_doc.xml · nonDerivative · entry 3

Magennis Elizabeth · CIK 0001568272 · EVP & Bank President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 123,857

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

Read SEC document
March 20, 2023 Filed Mar 29, 2023 01:55 UTC
Magennis ElizabethEVP & Bank President
GrantCommon Stock 17,549 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000008 · primary_doc.xml · nonDerivative · entry 2

Magennis Elizabeth · CIK 0001568272 · EVP & Bank President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 132,631

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

Read SEC document
March 20, 2023 Filed Mar 29, 2023 01:55 UTC
Magennis ElizabethEVP & Bank President
GrantCommon Stock 14,274 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000008 · primary_doc.xml · nonDerivative · entry 1

Magennis Elizabeth · CIK 0001568272 · EVP & Bank President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 115,082

F1 · shares: 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.

Read SEC document
March 20, 2023 Filed Mar 29, 2023 01:47 UTC
Burns William SSenior EVP & CFO
Tax withholdingCommon Stock 2,995 $17.93 $53,700.35
Disclosure

SEC source: 0001568214-23-000007 · primary_doc.xml · nonDerivative · entry 4

Burns William S · CIK 0001458372 · Senior EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 116,387

F4 · shares: 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.

Read SEC document
March 20, 2023 Filed Mar 29, 2023 01:47 UTC
Burns William SSenior EVP & CFO
Tax withholdingCommon Stock 8,983 $17.93 $161,065.19
Disclosure

SEC source: 0001568214-23-000007 · primary_doc.xml · nonDerivative · entry 3

Burns William S · CIK 0001458372 · Senior EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 119,382

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

Read SEC document
March 20, 2023 Filed Mar 29, 2023 01:47 UTC
Burns William SSenior EVP & CFO
GrantCommon Stock 17,967 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000007 · primary_doc.xml · nonDerivative · entry 2

Burns William S · CIK 0001458372 · Senior EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 128,365

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

Read SEC document
March 20, 2023 Filed Mar 29, 2023 01:47 UTC
Burns William SSenior EVP & CFO
GrantCommon Stock 13,268 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000007 · primary_doc.xml · nonDerivative · entry 1

Burns William S · CIK 0001458372 · Senior EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,398

F1 · shares: 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.

Read SEC document
March 20, 2023 Filed Mar 29, 2023 01:39 UTC
Sorrentino Frank IIIDirector · Chairman, President & CEO
Tax withholdingCommon Stock 11,491 $17.93 $206,033.63
Disclosure

SEC source: 0001568214-23-000006 · primary_doc.xml · nonDerivative · entry 4

Sorrentino Frank III · CIK 0001568273 · Director · Chairman, President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 832,844

F4 · shares: 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.

Read SEC document
March 20, 2023 Filed Mar 29, 2023 01:39 UTC
Sorrentino Frank IIIDirector · Chairman, President & CEO
Tax withholdingCommon Stock 34,471 $17.93 $618,065.03
Disclosure

SEC source: 0001568214-23-000006 · primary_doc.xml · nonDerivative · entry 3

Sorrentino Frank III · CIK 0001568273 · Director · Chairman, President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 844,335

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

Read SEC document
March 20, 2023 Filed Mar 29, 2023 01:39 UTC
Sorrentino Frank IIIDirector · Chairman, President & CEO
GrantCommon Stock 57,452 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000006 · primary_doc.xml · nonDerivative · entry 2

Sorrentino Frank III · CIK 0001568273 · Director · Chairman, President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 878,806

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

Read SEC document
March 20, 2023 Filed Mar 29, 2023 01:39 UTC
Sorrentino Frank IIIDirector · Chairman, President & CEO
GrantCommon Stock 49,411 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000006 · primary_doc.xml · nonDerivative · entry 1

Sorrentino Frank III · CIK 0001568273 · Director · Chairman, President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 821,354

F1 · shares: 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.

Read SEC document
March 20, 2023 Filed Mar 29, 2023 14:22 UTC
O'Malley MichaelEVP & Chief Risk Officer
GrantCommon Stock 5,388 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000011 · primary_doc.xml · nonDerivative · entry 1

O'Malley Michael · CIK 0001849304 · EVP & Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,189

F1 · shares: 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.

Read SEC document
March 20, 2023 Filed Mar 29, 2023 14:18 UTC
Ewing Christopher J.EVP & Chief Operations Officer
Tax withholdingCommon Stock 2,612 $17.93 $46,833.16
Disclosure

SEC source: 0001568214-23-000010 · primary_doc.xml · nonDerivative · entry 4

Ewing Christopher J. · CIK 0001534147 · EVP & Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,811

F4 · shares: 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.

Read SEC document
March 20, 2023 Filed Mar 29, 2023 14:18 UTC
Ewing Christopher J.EVP & Chief Operations Officer
Tax withholdingCommon Stock 7,834 $17.93 $140,463.62
Disclosure

SEC source: 0001568214-23-000010 · primary_doc.xml · nonDerivative · entry 3

Ewing Christopher J. · CIK 0001534147 · EVP & Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,423

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

Read SEC document
March 20, 2023 Filed Mar 29, 2023 14:18 UTC
Ewing Christopher J.EVP & Chief Operations Officer
GrantCommon Stock 15,669 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000010 · primary_doc.xml · nonDerivative · entry 2

Ewing Christopher J. · CIK 0001534147 · EVP & Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,257

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

Read SEC document
March 20, 2023 Filed Mar 29, 2023 14:18 UTC
Ewing Christopher J.EVP & Chief Operations Officer
GrantCommon Stock 8,366 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000010 · primary_doc.xml · nonDerivative · entry 1

Ewing Christopher J. · CIK 0001534147 · EVP & Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,588

F1 · shares: 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

Read SEC document
March 20, 2023 Filed Mar 29, 2023 14:08 UTC
Criscione LauraEVP & Chief Compliance Officer
Tax withholdingCommon Stock 1,260 $17.93 $22,591.80
Disclosure

SEC source: 0001568214-23-000009 · primary_doc.xml · nonDerivative · entry 4

Criscione Laura · CIK 0001568214 · EVP & Chief Compliance Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97,311

F4 · shares: 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.

Read SEC document
March 20, 2023 Filed Mar 29, 2023 14:08 UTC
Criscione LauraEVP & Chief Compliance Officer
Tax withholdingCommon Stock 3,778 $17.93 $67,739.54
Disclosure

SEC source: 0001568214-23-000009 · primary_doc.xml · nonDerivative · entry 3

Criscione Laura · CIK 0001568214 · EVP & Chief Compliance Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,571

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

Read SEC document
March 20, 2023 Filed Mar 29, 2023 14:08 UTC
Criscione LauraEVP & Chief Compliance Officer
GrantCommon Stock 7,556 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000009 · primary_doc.xml · nonDerivative · entry 2

Criscione Laura · CIK 0001568214 · EVP & Chief Compliance Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,349

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

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March 20, 2023 Filed Mar 29, 2023 14:08 UTC
Criscione LauraEVP & Chief Compliance Officer
GrantCommon Stock 4,992 $0.00 $0.00
Disclosure

SEC source: 0001568214-23-000009 · primary_doc.xml · nonDerivative · entry 1

Criscione Laura · CIK 0001568214 · EVP & Chief Compliance Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,793

F1 · shares: 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

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March 14, 2023 Filed Mar 16, 2023 14:38 UTC PurchaseCommon Stock 181 $18.72 $3,388.32
Disclosure

SEC source: 0001568214-23-000005 · primary_doc.xml · nonDerivative · entry 1

Nukk-Freeman Katherin · CIK 0001759127 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 2,431

F1 · ownership.nature: Held in an IRA of reporting person's spouse.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.