Item 5. Other Information
Item 5 Other Information
Not applicable
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Item 6. Exhibits
Exhibit No.
Description
3.1
Certificate
of Amendment designating the 5.25% Fixed Rate Reset Non-Cumulative Perpetual Preferred Stock, Series A, of the Company, filed with the
Department of the Treasury of the State of New Jersey and effective August 17, 2021(incorporated herein by reference to Exhibit 3.2 to
the Company’s Registration Statement on Form 8-A, filed on August 19, 2021). (1)
4.1
Specimen
of the Company’s 5.25% Fixed Rate Reset Non-Cumulative Perpetual Preferred Stock, Series A Certificate (incorporated herein by reference
to Exhibit 4.1 to the Company’s Registration Statement on Form 8-A, filed on August 19, 2021). (1)
4.2
Deposit
Agreement, dated as of August 19, 2021, among the Company, Broadridge Corporate Issuer Solutions, Inc., as depositary, and the holders
from time to time of the depositary receipts described therein (1)
31.1
Certification of the Chief Executive Officer of the Parent Corporation Pursuant
to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2
Certification of the Chief Financial
Officer of the Parent Corporation Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32.1
Certification of the Chief Executive
Officer of the Parent Corporation Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
32.2
Certification of the Chief Financial
Officer of the Parent Corporation Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
101.INS
XBRL Instance Document. The instance document does
not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.
101.SCH
XBRL Taxonomy Extension Schema Document
101.CAL
XBRL Taxonomy Extension Calculation Linkbase Document
101.DEF
Definition Taxonomy Extension Linkbase Document
101.LAB
XBRL Taxonomy Extension Label Linkbase Document
101.PRE
XBRL Taxonomy Extension Presentation Linkbase Document
104
Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit
101).
(1)
Incorporated by reference to Exhibits 3.2, 4.1 and 4.2, respectively, to the Registrant’s Registration
Statement on Form 8-A filed August 19, 2021.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange
Act of 1934, the registrant has duly caused this report to be signed on its behalf, by the undersigned, thereunto duly authorized.
CONNECTONE BANCORP, INC.
(Registrant)
By:
/s/
Frank Sorrentino III
By:
/s/
William S. Burns
Frank Sorrentino III
William S. Burns
Chairman and Chief Executive Officer
Executive Vice President and Chief Financial Officer
Date: November 5, 2021
Date: November 5, 2021
63
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.