ConnectOne Bancorp, Inc. 10-Q/A

cnob20260630_10qa.htm UNITED STATES OF AMERICA SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1) (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2026 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40751 CONNECTONE BANCORP, INC. (Exact Name of Registrant as Specified in Its Charter) New Jersey 52-1273725 (State or Other Jurisdiction of Incorporation or Organization) (IRS Employer Identification No.) 301 Sylvan Avenue Englewood Cliffs , New Jersey 07632 (Address of Principal Executive Offices) (Zip Code) 844 - 266-2548 (Registrant’s Telephone Number, Including Area Code) Securities registered pursuant to Section 12(b) of the Act: Title of each class Trading symbol Name of each exchange on which registered Common stock CNOB NASDAQ Depositary Shares (each representing a 1/40 th interest in a share of 5.25% Series A Non-Cumulative, perpetual preferred stock) CNOBP NASDAQ Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ☒ No ☐ Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes ☒ No ☐ Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or emerging growth company. See definition of “large accelerated filer”, “accelerated filer” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act (check one): Large accelerated filer ☒ Accelerated filer ☐ Non-accelerated filer ☐ Smaller reporting company ☐ 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 7(a)(2)(B) of the Securities Act. ☐ Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ☐ No ☒ Indicate the number of shares outstanding of each of the issuer’s classes of common stock, as of the latest practicable date. Common Stock, no par value: 50,319,832 shares (Title of Class) (Outstanding as of August 4, 2026) Table of Contents Page EXPLANATORY NOTE 3 PART II – OTHER INFORMATION 4 Item 6. Exhibits 4 SIGNATURES 5 EXPLANATORY NOTE ConnectOne Bancorp, Inc. (the "Company") is filing this Amendment No. 1 on Form 10-Q/A to amend its Quarterly Report on Form 10-Q for the period ended June 30, 2026, which was originally filed with the Securities and Exchange Commission on August 4, 2026 (the "Original Filing"). This Amendment No. 1 is being filed solely to correct a clerical error on the cover page regarding the reported number of common shares outstanding as of August 4, 2026. On the cover page of the Original Filing, the Company inadvertently reported the number of issued shares (54,295,380) instead of the number of outstanding shares (50,319,832). Except for the revision to the cover page described above, no other changes have been made to Part I or Part II of the Original Filing. This Amendment No. 1 does not modify, update, or restate any financial statements, notes, Management’s Discussion and Analysis of Financial Condition and Results of Operations, or other financial disclosures contained in the Original Filing, and does not reflect any events occurring after the original filing date of August 4, 2026. Pursuant to Rule 12b-15 under the Securities Exchange Act of 1934, as amended, new certifications by the Company’s Chief Executive Officer and Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 are filed herewith as Exhibits 31.1 and 31.2. 3 Item 6. Exhibits Exhibit No. Description 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. 101.INS Inline XBRL Instance Document 101.SCH Inline XBRL Taxonomy Extension Schema Document. 101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document. 101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document. 101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document. 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document. 104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). 4 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 Senior Executive Vice President and Chief Financial Officer Date: August 18, 2026 Date: August 18, 2026 5