23 unchanged sentences
(c) Changes in Internal Controls over Financial Reporting
−Removed: There have been no changes in the Company’s internal controls over financial reporting that occurred during the Company’s last fiscal quarter to which this report relates that have materially affected, or are reasonable likely to materially affect, the Company’s internal control over financial reporting.
+Added: There have been no changes in the Company’s internal controls over financial reporting that occurred during the Company’s fourth fiscal quarter that have materially affected, or are reasonable likely to materially affect, the Company’s internal control over financial reporting.
+Added: - 116 -
Other Information
31 unchanged sentences
Exhibits (numbered in accordance with Item 601 of Regulation S-K) filed herewith or incorporated by reference as part of this annual report.
−Removed: The Registrant’s Restated Certificate of Incorporation is incorporated by reference to Exhibit 3.1 to the Registrant’s Current Report on Form 8-K filed with the SEC on July 1, 2014.
+Added: The Registrant’s Restated Certificate of Incorporation as of May 21, 2020 is incorporated by reference to Exhibit 3.1 to the Registrant’s Current Report on Form 8-K filed with the SEC on May 22, 2020.
The Registrant’s Amended and Restated By-Laws are incorporated by reference to Exhibit 3.1 to the Registrant’s Current Report on Form 8-K filed with the SEC on December 21, 2018.
8 unchanged sentences
Amendment to 2003 Amended and Restated Non-Employee Director Stock Option Plan is incorporated by reference to Exhibit 10.8 to the Registrant’s Current Report on Form 8-K filed with the SEC on January 21, 2014.
−Removed: Second Amended and Restated Employment Agreement, dated as of June 1, 2017, by and among the Registrant, ConnectOne Bank and Frank Sorrentino III, is incorporated by reference to Exhibit 10.1 to the Registrant’s Current report on Form 8-K filed with the SEC on June 5, 2017.
- 119 -
+Added: Second Amended and Restated Employment Agreement, dated as of June 1, 2017, by and among the Registrant, ConnectOne Bank and Frank Sorrentino III, is incorporated by reference to Exhibit 10.1 to the Registrant’s Current report on Form 8-K filed with the SEC on June 5, 2017.
Amended and Restated Employment Agreement dated as of June 1, 2017, by and among the Registrant, ConnectOne Bank and William S.
5 unchanged sentences
2012 Equity Compensation Plan (1)
−Removed: Indenture dated June 30, 2015 with U.S.
−Removed: Bank, National Association as Trustee (2)
Indenture dated January 17, 2018, between the Company and U.S.
9 unchanged sentences
Burns, Elizabeth Magennis, Christopher Ewing and Michael McGrover (5)
+Added: Second Supplemental Indenture, dated as of June 15, 2020, between the Registrant and U.S.
+Added: Bank National Association, as Trustee is incorporated by reference to Exhibit 4.2 to the Registrant’s Current Report on Form 8-K filed with the SEC on June 15, 2020.
Subsidiaries of the Registrant
1 unchanged sentence
Personal certification of the chief executive officer pursuant to section 302 of the Sarbanes-Oxley Act of 2002.
+Added: - 120 -
Personal certification of the chief financial officer pursuant to section 302 of the Sarbanes-Oxley Act of 2002.
8 unchanged sentences
the cover page interactive data file does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.
−Removed: - 117 -
Management contract on compensatory plan or arrangement.
42 unchanged sentences
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.