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): October 17, 2016
Patriot National, Inc.
(Exact Name of Registrant as Specified in Charter)
| | | | |
| Delaware | | 001-36804 | | 46-4151376 |
(State or Other Jurisdiction of Incorporation) | | (Commission File Number) | | (IRS Employer Identification No.) |
| |
401 East Las Olas Boulevard, Suite 1650 Fort Lauderdale, Florida | | 33301 |
| (Address of Principal Executive Offices) | | (Zip Code) |
(954) 670-2900
(Registrant’s telephone number, including area code)
Not applicable
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| ☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
| Item 5.02(b). | Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. |
On October 17, 2016, Austin J. Shanfelter, a director of Patriot National, Inc. (the “Company”), notified the Company that he would resign from the Company’s Board of Directors effective immediately. Mr. Shanfelter’s decision to resign is solely for personal reasons and did not involve any disagreement with the Company, the Company’s management or the Board of Directors.
This information and the information contained in Exhibit 99.1 shall not be deemed “filed” for purposes of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as may be expressly set forth by specific reference in any such filing.
| Item 9.01. | Financial Statements and Exhibits. |
| (d) | The following exhibits are attached to this Current Report on Form 8-K. |
| | |
Exhibit No. | | Exhibit |
| 99.1 | | Resignation Letter dated as of October 17, 2016 |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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| | | | PATRIOT NATIONAL, INC. |
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| Date: October 21, 2016 | | | | By: | | /s/ Christopher A. Pesch |
| | | | Name: | | Christopher A. Pesch |
| | | | Title: | | Executive Vice President, General Counsel, Chief Legal Officer and Secretary |
