UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
Pursuant to Section 13 or 15(d) of
the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
(Exact name of Company as specified in its charter)
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| of incorporation) | File Number) | Identification No | ||
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| Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) | ||
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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. [ ]
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ITEM 8.01 OTHER EVENTS
On August 11, 2021, ConnectOne Bancorp, Inc. (the “Company”) filed a preliminary prospectus supplement for an underwritten public offering of the Company’s depositary shares (the “Depositary Shares”), each representing a 1/40th ownership interest in a share of the Company’s fixed rate reset non-cumulative perpetual preferred stock, series A.
A copy of the investor presentation being used in connection with the offering of the Depositary Shares is attached as Exhibit 99.1 to this Current Report on Form 8-K and incorporated herein by reference.
The offering of Depositary Shares is being made pursuant to the Company’s effective shelf registration statement on Form S-3 (Registration No. 333-258093) previously filed with the Securities and Exchange Commission. Any offer or sale of the Depositary Shares will be made only by means of a prospectus supplement relating to the offering and the accompanying prospectus.
ITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS
(d) Exhibits
| 99.1 | Investor Presentation dated August 2021. | ||
| 104 | Cover Page Interactive File (the cover page tags are 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: | August 11, 2021 | By: | /s/ William S. Burns | |||
| WILLIAM S. BURNS | ||||||
| Executive Vice President and | ||||||
| Chief Financial Officer | ||||||
Exhibit Index
| Exhibit | ||
| No. | Description | |
| 99.1 | Investor Presentation dated August 2021. | |
| 104 | Cover Page Interactive File (the cover page tags are embedded within the Inline XBRL document). | |