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):
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Item 1.01. Entry into a Material Definitive Agreement.
On August 12, 2021, ConnectOne Bancorp, Inc. (the “Company”) entered into an Underwriting Agreement (the “Underwriting Agreement”) with Piper Sandler & Co., Raymond James & Associates, Inc., Keefe Bruyette & Woods, Inc., and Stephens, Inc., as representative for the several underwriters named in the Underwriting Agreement (collectively, the “Underwriters”) to issue and sell to the Underwriters an aggregate amount of 4,000,000 Depositary Shares (the “Depositary Shares”), each representing a 1/40th ownership interest in a share of 5.25% Fixed Rate Reset Non-Cumulative Perpetual Preferred Stock, Series A, no par value per share, of the Company in a public offering pursuant to the Company’s Registration Statement on Form S-3 (File No. 333- 258093), as amended, and a related prospectus, including the related prospectus supplement (collectively, the “Registration Statement”), filed with the Securities and Exchange Commission. The Underwriting Agreement contains customary representations, warranties and agreements by the Company, customary conditions to closing, indemnification obligations of the Company and the Underwriters, including for liabilities under the Securities Act, other obligations of the parties and termination provisions.
The foregoing summary of the Underwriting Agreement does not purport to be complete and is qualified in its entirety by reference to the text of the Underwriting Agreement, which is filed as Exhibit 1.1 hereto and incorporated by reference into this Item 1.01. This Current Report on Form 8-K is being filed for the purpose of filing Exhibit 1.1 as an exhibit to the Registration Statement and such exhibit is hereby incorporated by reference into the Registration Statement.
Item 9.01 Financial Statements and Exhibits
(d) Exhibits. The following exhibits accompany this report.
Exhibit | ||
No. | Description | |
1.1 | Underwriting Agreement, dated August 12, 2021, by and among ConnectOne Bancorp, Inc. Piper Sandler & Co., Raymond James & Associates, Inc., Keefe Bruyette & Woods, Inc., and Stephens, Inc. | |
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: | August 13, 2021 | By: | /s/ William S. Burns | |||
WILLIAM S. BURNS | ||||||
Executive Vice President and | ||||||
Chief Financial Officer | ||||||
Exhibit Index
Exhibit | ||
No. | Description | |
1.1 | Underwriting Agreement, dated August 12, 2021, by and among ConnectOne Bancorp, Inc. Piper Sandler & Co., Raymond James & Associates, Inc., Keefe Bruyette & Woods, Inc., and Stephens, Inc. | |
104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). | |