-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, I+0l3NBvE8IbVMRCvRkCKTSbdeMtxs2SdRXBMaAL9uRerz1jvbjyt7BGR9lX64hB wlGaQnsQjopMgs+Za3hM5g== 0000950142-07-000999.txt : 20070502 0000950142-07-000999.hdr.sgml : 20070502 20070502162018 ACCESSION NUMBER: 0000950142-07-000999 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070502 DATE AS OF CHANGE: 20070502 GROUP MEMBERS: HARVEY SANDLER GROUP MEMBERS: HARVEY SANDLER REVOCABLE TRUST GROUP MEMBERS: THE HARVEY AND PHYLLIS SANDLER FOUNDATION INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PATRIOT NATIONAL BANCORP INC CENTRAL INDEX KEY: 0001098146 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 061559137 STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-58533 FILM NUMBER: 07810957 BUSINESS ADDRESS: STREET 1: 900 BEDFORD ST CITY: STAMFORD STATE: CT ZIP: 06901 BUSINESS PHONE: 2033247500 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Harvey Sandler Revocable Trust CENTRAL INDEX KEY: 0001323253 IRS NUMBER: 134328652 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 21170 N. E. 22ND COURT CITY: NORTH MIAMI BEACH STATE: FL ZIP: 33180 BUSINESS PHONE: 954-389-7100 MAIL ADDRESS: STREET 1: 21170 N. E. 22ND COURT CITY: NORTH MIAMI BEACH STATE: FL ZIP: 33180 SC 13G/A 1 sc13ga3_patriot.txt AMENDMENT NO. 3 ================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* PATRIOT NATIONAL BANCORP, INC. ------------------------------ (Name of Issuer) Common Stock, $2.00 par value per share --------------------------------------- (Title of Class of Securities) 70336F104 ----------- (CUSIP Number) April 5, 2007 --------------- (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). ============================================================================== - -------------------- --------------------- CUSIP No. 70336F104 SCHEDULE 13G/A Page 2 of 9 Pages - -------------------- --------------------- - -------------------------------------------------------------------------------- 1 Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) HARVEY SANDLER REVOCABLE TRUST - -------------------------------------------------------------------------------- 2 Check the Appropriate Box If a Member of a Group (See Instructions) a. [_] b. [_] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization FLORIDA - -------------------------------------------------------------------------------- 5 Sole Voting Power Number of 473,922 Shares ------------------------------------------------------------- Benefically 6 Shared Voting Power Owned By Each -0- Reporting ------------------------------------------------------------- Person 7 Sole Dispositive Power With 473,922 ------------------------------------------------------------- 8 Shared Dispositive Power -0- - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 473,922 shares of Common Stock - -------------------------------------------------------------------------------- 10 Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [_] - -------------------------------------------------------------------------------- 11 Percent of Class Represented By Amount in Row (9) 10.0% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------- - -------------------- --------------------- CUSIP No. 70336F104 SCHEDULE 13G/A Page 3 of 9 Pages - -------------------- --------------------- - -------------------------------------------------------------------------------- 1 Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) THE HARVEY AND PHYLLIS SANDLER FOUNDATION INC. - -------------------------------------------------------------------------------- 2 Check the Appropriate Box If a Member of a Group (See Instructions) a. [_] b. [_] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization FLORIDA - -------------------------------------------------------------------------------- 5 Sole Voting Power Number of 36,554 Shares ------------------------------------------------------------- Benefically 6 Shared Voting Power Owned By Each -0- Reporting ------------------------------------------------------------- Person 7 Sole Dispositive Power With 36,554 ------------------------------------------------------------- 8 Shared Dispositive Power -0- - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 36,554 shares of Common Stock - -------------------------------------------------------------------------------- 10 Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [_] - -------------------------------------------------------------------------------- 11 Percent of Class Represented By Amount in Row (9) 0.8% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) CO - -------------------------------------------------------------------------------- - -------------------- --------------------- CUSIP No. 70336F104 SCHEDULE 13G/A Page 4 of 9 Pages - -------------------- --------------------- - -------------------------------------------------------------------------------- 1 Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) HARVEY SANDLER - -------------------------------------------------------------------------------- 2 Check the Appropriate Box If a Member of a Group (See Instructions) a. [_] b. [_] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- 5 Sole Voting Power Number of 510,476 Shares ------------------------------------------------------------- Benefically 6 Shared Voting Power Owned By Each -0- Reporting ------------------------------------------------------------- Person 7 Sole Dispositive Power With 510,476 ------------------------------------------------------------- 8 Shared Dispositive Power -0- - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 510,476 shares of Common Stock - -------------------------------------------------------------------------------- 10 Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [_] - -------------------------------------------------------------------------------- 11 Percent of Class Represented By Amount in Row (9) 10.8% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- - -------------------- --------------------- CUSIP No. 70336F104 SCHEDULE 13G/A Page 5 of 9 Pages - -------------------- --------------------- Item 2 1. (a) Name of Person Filing: Harvey Sandler Revocable Trust (b) Address of Principal Business Office or, if None, Residence: c/o Sandler Enterprises, Inc., 21170 N.E. 22nd Court North, Miami Beach, Florida 33180 (c) Citizenship: Harvey Sandler Revocable Trust is a trust organized under the laws of the State of Florida. (d) Title of Class of Securities: Common Stock, par value $2.00 per share (e) CUSIP Number: 70336F104 2. (a) Name of Person Filing: The Harvey and Phyllis Sandler Foundation, Inc. (b) Address of Principal Business Office or, if None, Residence: c/o Sandler Enterprises, Inc., 21170 N.E. 22nd Court North, Miami Beach, Florida 33180 (c) Citizenship: The Harvey and Phyllis Sandler Foundation, Inc. is a corporation organized under the laws of the State of Florida. (d) Title of Class of Securities: Common Stock, par value $2.00 per share (e) CUSIP Number: 70336F104 3. (a) Name of Person Filing: Harvey Sandler (b) Address of Principal Business Office or, if None, Residence: 21170 N.E. 22nd Court North, Miami Beach, Florida 33180 - -------------------- --------------------- CUSIP No. 70336F104 SCHEDULE 13G/A Page 6 of 9 Pages - -------------------- --------------------- (c) Citizenship: Harvey Sandler is a United States citizen. (d) Title of Class of Securities: Common Stock, par value $2.00 per share (e) CUSIP Number: 70336F104 Item 4. Ownership: Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. 1. Harvey Sandler Revocable Trust (a) Amount beneficially owned: 473,922 shares of Common Stock, $2.00 par value, of Patriot National Bancorp, Inc. (b) Percent of class: 10.0% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 473,922 shares (ii) Shared power to vote or to direct the vote: 0 shares (iii) Sole power to dispose or to direct the disposition of: 473,922 shares (iv) Shared power to dispose or to direct the disposition of: 0 shares 2. The Harvey and Phyllis Sandler Foundation, Inc. (a) Amount beneficially owned: 36,554 shares of Common Stock, $2.00 par value, of Patriot National Bancorp, Inc. (b) Percent of class: 0.8% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 36,554 shares (ii) Shared power to vote or to direct the vote: 0 shares (iii) Sole power to dispose or to direct the disposition of: 36,554 shares - -------------------- --------------------- CUSIP No. 70336F104 SCHEDULE 13G/A Page 7 of 9 Pages - -------------------- --------------------- (iv) Shared power to dispose or to direct the disposition of: 0 shares 3. Harvey Sandler (a) Amount beneficially owned: 510,476 shares of Common Stock, $2.00 par value, of Patriot National Bancorp, Inc. (b) Percent of class: 10.8% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 510,476 shares(1) (ii) Shared power to vote or to direct the vote: 0 shares (iii) Sole power to dispose or to direct the disposition of: 510,476 shares(1) (iv) Shared power to dispose or to direct the disposition of: 0 shares - ------------------------ (1) Harvey Sandler is the sole trustee of the Harvey Sandler Revocable Trust and is the President of The Harvey and Phyllis Sandler Foundation Inc. As a result, Mr. Sandler may be deemed to beneficially own the shares held by the Harvey Sandler Revocable Trust and The Harvey and Phyllis Sandler Foundation and each of the reporting persons may be deemed to be a member of a group within the meaning of Rule 13d-5(b)(1). The reporting persons do not admit to being members of a group and Mr. Sandler disclaims beneficial ownership of the securities held by the Harvey Sandler Revocable Trust and The Harvey and Phyllis Sandler Foundation Inc. Item 8. Identification and Classification of Members of the Group: See Exhibit A for Joint Filing Agreement. Item 10. Certification: By signing below the undersigned certifies that, to the best of such person's knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the Issuer of such securities and were not acquired and are not held in connection with or as a participant in any transaction having such purpose or effect. - -------------------- --------------------- CUSIP No. 70336F104 SCHEDULE 13G/A Page 8 of 9 Pages - -------------------- --------------------- SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: May 2, 2007 HARVEY SANDLER REVOCABLE TRUST By: /S/ HARVEY SANDLER Name: Harvey Sandler Title: Sole Trustee Date: May 2, 2007 By: /s/ Harvey Sandler -------------------------- HARVEY SANDLER Date: May 2, 2007 THE HARVEY AND PHYLLIS SANDLER FOUNDATION INC. By: /s/ Harvey Sandler -------------------------- Name: Harvey Sandler Title: President - -------------------- --------------------- CUSIP No. 70336F104 SCHEDULE 13G/A Page 9 of 9 Pages - -------------------- --------------------- Exhibit A JOINT FILING AGREEMENT In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock of PATRIOT NATIONAL BANCORP, INC. and that this Agreement be included as an Exhibit to such statement. IN WITNESS WHEREOF, the undersigned hereby execute this Agreement effective as of the dates set forth next to the undersigned's name. Date: May 2, 2007 HARVEY SANDLER REVOCABLE TRUST By: /S/ HARVEY SANDLER Name: Harvey Sandler Title: Sole Trustee Date: May 2, 2007 By: /s/ Harvey Sandler -------------------------- HARVEY SANDLER Date: May 2, 2007 THE HARVEY AND PHYLLIS SANDLER FOUNDATION INC. By: /s/ Harvey Sandler -------------------------- Name: Harvey Sandler Title: President -----END PRIVACY-ENHANCED MESSAGE-----