SEC Form 3
| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 03/31/2021 | 3. Issuer Name and Ticker or Trading Symbol PATRIOT NATIONAL BANCORP INC [ PNBK ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 427,691(1) | D(1) | |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
| 1. SMC Holdings I, LP, a Delaware limited partnership ("SMC Holdings"), directly holds 427,691 shares of Common Stock of Patriot National Bancorp, Inc. (the "Issuer"). SMC Holdings I G.P., LLC, a Delaware limited liability company ("SMC GP"), is the general partner of SMC Holdings. John L. Steffens ("Mr. Steffens") and Gregory P. Ho ("Mr. Ho") each serves as a Managing Member of SMC GP. Each of SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the shares of Common Stock held by SMC Holdings. |
| Remarks: |
| (2) SMC Holdings holds voting and dispositive power over the 427,691 shares of Common Stock of the Issuer. Each of Mr. Steffens, Mr. Ho, and SMC GPdisclaims beneficial ownership of these securities and this report shall not be deemed an admission that they are the beneficial owners of such securities forpurposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| SMC Holdings I, LP By: SMC Holdings I G.P., LLC, its general partner By: Gregory P. Ho Title: Managing Member /s/ Gregory P. Ho | 04/21/2021 | |
| SMC Holdings I G.P., LLC By: Gregory P. Ho Title: Managing Member /s/ Gregory P. Ho | 04/21/2021 | |
| /s/ John L. Steffens | 04/21/2021 | |
| /s/ Gregory P. Ho | 04/21/2021 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||