8-K/A
ConnectOne Bancorp, Inc. (CNOB)
UNITED STATESSECURITIES AND EXCHANGE COMMISSIONWashington, D.C. 20549
FORM 8-K/AAmendment No. 1
CURRENT REPORT
Pursuant to Section 13 or 15(d) ofthe Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): October 14, 2021
CONNECTONE BANCORP, INC.
(Exact name of Company as specified in its charter)
| New Jersey | 000-11486 | 52-1273725 |
|---|---|---|
| (State or other jurisdiction | (Commission | (IRS Employer |
| of incorporation) | File Number) | Identification No |
| 301 Sylvan Avenue | ||
| --- | --- | |
| Englewood Cliffs, New Jersey | 07632 | |
| (Address of principal executive offices) | (Zip Code) |
Company's telephone number, including area code (844) 266-2548
| [ ] | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
|---|---|
| [ ] | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| [ ] | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| [ ] | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). Emerging growth company [ ]
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. [ ]
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading<br>Symbol(s) | Name of each exchange on which<br>registered |
|---|---|---|
| Common Stock | CNOB | NASDAQ |
| Depositary Shares (each representing a 1/40th interest in a share of 5.25% Series A Non-Cumulative, perpetual preferred stock) | CNOBP | NASDAQ |
Explanatory Note
On October 14, 2021, the Registrant issued a press release announcing the anticipated date of release of its third quarter 2021 earnings, and the date of the related management conference call and webcast, and furnished a copy on Form 8-K. The Registrant is filing this Form 8-K/A to properly list the Registrant’s securities registered under Section 12(b) of the Securities Act of 1933, as amended. No changes have been made in the text of the Form 8-K or in the press release furnished as an exhibit.
Item 8.01. Other Events.
On October 14, 2021, the Registrant issued a press release, a copy of which is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
Item 9.01. Financial Statements and Exhibits.
| 99.1 | Press Release dated October 14, 2021 (incorporated by reference to Exhibit 99.1 to the Registrant’s Current Report on Form 8-K filed on October 14, 2021) |
|---|---|
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized.
| CONNECTONE BANCORP, INC. | ||
|---|---|---|
| (Registrant) | ||
| Dated: November 3, 2021 | By: | /s/ William S. Burns |
| WILLIAM S. BURNS | ||
| Executive Vice President and | ||
| Chief Financial Officer |
Index of Exhibits
| Exhibit 99.1 | Press Release dated October 14, 2021 (incorporated by reference to Exhibit 99.1 to the Registrant’s Current Report on Form 8-K filed on October 14, 2021) |
|---|---|
| Exhibit 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |