pnbk20210923_8k.htm
false
0001098146
0001098146
2021-09-22
2021-09-22
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of Earliest Event Reported): September 22, 2021
PATRIOT NATIONAL BANCORP, INC.
(Exact Name of Registrant as Specified in its Charter)
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Connecticut
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000-29599
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06-1559137
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(State or other Jurisdiction
of Incorporation)
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(Commission File Number)
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(I.R.S. Employer
Identification No.)
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900 Bedford Street
Stamford, Connecticut 06901
(Address of Principal Executive Offices)
Registrant’s telephone number, including area code: (203) 324-7500
N/A
(Former Address of Principal Executive Offices)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation under any of the following provisions (see General Instruction A.2. below):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c)) under the Exchange Act (17 CFR 240.13e-4(c))
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
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 13(a) of the Exchange Act. ☐
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class |
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Trading symbol |
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Name of each exchange on which registered |
| Common Stock |
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PNBK |
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NASDAQ Global Market |
Section 5 – Corporate Governance and Management
Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
On September 22, 2021, Raymond B. Smyth, a Director of Patriot National Bancorp, Inc. (the “Company”) and its wholly-owned subsidiary, Patriot Bank, N.A. (the “Bank”), passed away. Mr. Smyth had served as a Director of the Company and the Bank from 2008 to 2010, and again since 2011. He also served on the Company’s Asset Liability Committee, Audit Committee, Loan Committee and Executive Committee, as well as the Compliance Committee of the Bank.
Section 7 Regulation FD
Item 7.01. Regulation FD Disclosure.
On September 24, 2021, the Company issued a press release, a copy of which is attached hereto as Exhibit 99.1, expressing condolences for Mr. Smyth’s death.
The information contained in this Current Report on Form 8-K (including the exhibit) is being furnished and shall not be deemed “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that Section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as otherwise expressly stated in such filing.
Section 9 – Financial Statements and Exhibits
Item 9.01. Financial Statements and Exhibits
(c) Exhibits
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Exhibit No.
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Description
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99.1
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104
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Cover Pager Interactive Data File, formatted in Inline XBRL document
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
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Date: September 24, 2021
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PATRIOT NATIONAL BANCORP, INC.
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By:
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/s/ Robert G. Russell, Jr.
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Name:
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Robert G. Russell, Jr.
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Title:
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President and Chief Executive Officer
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