0001437749-18-001933.txt : 20180207 0001437749-18-001933.hdr.sgml : 20180207 20180207163813 ACCESSION NUMBER: 0001437749-18-001933 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180104 FILED AS OF DATE: 20180207 DATE AS OF CHANGE: 20180207 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carrazza Michael A. CENTRAL INDEX KEY: 0001498203 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29599 FILM NUMBER: 18581594 MAIL ADDRESS: STREET 1: 885 THIRD AVENUE; 28TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 900 BEDFORD ST CITY: STAMFORD STATE: CT ZIP: 06901 BUSINESS PHONE: 2033247500 4 1 rdgdoc.xml FORM 4 X0306 4 2018-01-04 0001098146 PATRIOT NATIONAL BANCORP INC PNBK 0001498203 Carrazza Michael A. C/O PATRIOT NATIONAL BANCORP, INC. 900 BEDFORD STREET STAMFORD CT 06901 1 1 1 CEO & Chairman of the Board Common Stock 2018-01-04 4 J 0 1630 0 A 7330 I Solaia Capital Management Profit Sharing Plan FBO Michael A. Carrazza Common Stock 2018-01-04 4 J 0 9781 0 A 11231 D Common Stock 2018-01-12 4 A 0 11200 17.85 A 22431 D Common Stock 2018-01-04 4 J 0 840000 0 D 2195000 I By PNBK Holdings LLC On January 4, 2018, PNBK Holdings LLC ("Holdings") conducted an in-kind distribution (the "In-Kind Distribution") of shares of restricted common stock of the Issuer to shareholders of Holdings. Solaia Capital Management Profit Sharing Plan FBO Michael A. Carrazza received 1,630 shares of common stock in the In-Kind Distribution. On January 4, 2018, the Reporting Person received 9,781 shares of common stock in the In-Kind Distribution. On January 12, 2018, the Reporting Person was granted 11,200 shares of restricted common stock of the Issuer, which will vest quarterly in equal installments over a four-year period commencing from January 1, 2018, under the Issuer's 2012 Stock Plan, as amended. As of the date hereof, the Reporting Person directly owned a total of 22,431 shares of common stock of the Issuer. On January 4, 2018, Holdings distributed an aggregate number of 840,000 shares of restricted common stock of the Issuer in the In-Kind Distribution. The Reporting Person is the managing member of PNBK Sponsor LLC, which is the managing member of Holdings; therefore, the Reporting Person may be deemed to indirectly beneficially own the shares directly owned by Holdings. The number of shares reported hereunder does not include 325,000 shares owned by Holdings with respect to which Fabrizio Bentivoglio has sole voting and dispositive power. /s/ Michael A. Carrazza 2018-02-07