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0001098146
0001098146
2021-09-01
2021-09-01
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 1, 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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☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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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:
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Title of each class
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Trading symbol
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Name of each exchange on which registered
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Common Stock
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PNBK
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NASDAQ Global Market
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Section 1 – Registrant’s Business and Operations
Item 1.01. Entry Into a Material Definitive Agreement
On September 1, 2021, Patriot National Bancorp, Inc. (the “Company”) received notification from the Office of the Comptroller of the Currency (the “OCC”) that its formal agreement dated November 7, 2018, has been terminated. The OCC concluded that the safety and soundness of the Bank and its compliance with laws and regulations does not require the continued existence of the Agreement.
The foregoing description of the termination of agreement from the OCC does not purport to be complete and is qualified in its entirety by reference to the full text of the termination notification, a copy of which is annexed hereto.
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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1.01
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| 104 |
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Cover Page Interactive Data File (embedded within the Inline XBRL document) |
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 7, 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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