PNBK

SEC source: 0001437749-26-013335 · rdgdoc.xml · nonDerivative · entry 2

Magzanyan Anahit · CIK 0002076474 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,390

F2 · kind: On July 24, 2025, the Reporting Person purchased 175 shares of the Issuer's common stock on the open market at an average price of $1.55 per share.

F2 · price: On July 24, 2025, the Reporting Person purchased 175 shares of the Issuer's common stock on the open market at an average price of $1.55 per share.

SEC source: 0001437749-26-013335 · rdgdoc.xml · nonDerivative · entry 1

Magzanyan Anahit · CIK 0002076474 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,215

F1 · kind: On July 17, 2025, the Reporting Person purchased 375 shares of the Issuer's common stock on the open market at an average price of $1.44 per share.

F1 · price: On July 17, 2025, the Reporting Person purchased 375 shares of the Issuer's common stock on the open market at an average price of $1.44 per share.

SEC source: 0001437749-25-022374 · rdgdoc.xml · derivative · entry 4

Sugarman Steven · CIK 0001504590 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By Steven and Ainslie Sugarman Living Trust

Disclosed balance after: 466,667

Underlying: Voting Common Stock · 466,667 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: The Trust was also issued 5,833 shares of Series A Preferred Stock, convertible into 466,667 shares of Voting Common Stock, as a reimbursement of the Reporting Person's legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · derivative.exercise_price: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F2 · kind: The Trust was also issued 5,833 shares of Series A Preferred Stock, convertible into 466,667 shares of Voting Common Stock, as a reimbursement of the Reporting Person's legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · kind: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F2 · price: The Trust was also issued 5,833 shares of Series A Preferred Stock, convertible into 466,667 shares of Voting Common Stock, as a reimbursement of the Reporting Person's legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · price: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F2 · derivative.exercise_date: The Trust was also issued 5,833 shares of Series A Preferred Stock, convertible into 466,667 shares of Voting Common Stock, as a reimbursement of the Reporting Person's legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · derivative.exercise_date: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F2 · derivative.expiration_date: The Trust was also issued 5,833 shares of Series A Preferred Stock, convertible into 466,667 shares of Voting Common Stock, as a reimbursement of the Reporting Person's legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · derivative.expiration_date: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F4 · ownership.nature: The Trust is a revocable living trust for the benefit of the Reporting Person and his spouse. The Reporting Person and his spouse are the trustees of the Trust.

SEC source: 0001437749-25-022374 · rdgdoc.xml · derivative · entry 3

Sugarman Steven · CIK 0001504590 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By Steven and Ainslie Sugarman Living Trust

Disclosed balance after: 0

Underlying: Non-Voting Common Stock · 466,667 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: The Trust was also issued 5,833 shares of Series A Preferred Stock, convertible into 466,667 shares of Voting Common Stock, as a reimbursement of the Reporting Person's legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · derivative.exercise_price: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F2 · kind: The Trust was also issued 5,833 shares of Series A Preferred Stock, convertible into 466,667 shares of Voting Common Stock, as a reimbursement of the Reporting Person's legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · kind: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F2 · price: The Trust was also issued 5,833 shares of Series A Preferred Stock, convertible into 466,667 shares of Voting Common Stock, as a reimbursement of the Reporting Person's legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · price: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F2 · derivative.exercise_date: The Trust was also issued 5,833 shares of Series A Preferred Stock, convertible into 466,667 shares of Voting Common Stock, as a reimbursement of the Reporting Person's legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · derivative.exercise_date: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F2 · derivative.expiration_date: The Trust was also issued 5,833 shares of Series A Preferred Stock, convertible into 466,667 shares of Voting Common Stock, as a reimbursement of the Reporting Person's legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · derivative.expiration_date: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F4 · ownership.nature: The Trust is a revocable living trust for the benefit of the Reporting Person and his spouse. The Reporting Person and his spouse are the trustees of the Trust.

SEC source: 0001437749-25-022374 · rdgdoc.xml · derivative · entry 2

Sugarman Steven · CIK 0001504590 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By Steven and Ainslie Sugarman Living Trust

Disclosed balance after: 1,533,333

Underlying: Voting Common Stock · 1,533,333 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On March 20, 2025, Patriot National Bancorp, Inc. (the "Issuer") completed its private placement of: (i) shares of the Issuer's voting common stock, par value $0.01 per share ("Voting Common Stock"), at a purchase price of $0.75 per share, and (ii) shares of a new series of the Issuer's preferred stock, no par value per share (the "Series A Preferred Stock"), with a liquidation preference of $60 per share (the "Private Placement"). Steven and Ainslie Sugarman Living Trust (the "Trust") purchased, as part of the Private Placement, 19,167 shares of Series A Preferred Stock, convertible into 1,533,333 shares of Voting Common Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act")) of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · derivative.exercise_price: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F1 · kind: On March 20, 2025, Patriot National Bancorp, Inc. (the "Issuer") completed its private placement of: (i) shares of the Issuer's voting common stock, par value $0.01 per share ("Voting Common Stock"), at a purchase price of $0.75 per share, and (ii) shares of a new series of the Issuer's preferred stock, no par value per share (the "Series A Preferred Stock"), with a liquidation preference of $60 per share (the "Private Placement"). Steven and Ainslie Sugarman Living Trust (the "Trust") purchased, as part of the Private Placement, 19,167 shares of Series A Preferred Stock, convertible into 1,533,333 shares of Voting Common Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act")) of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · kind: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F1 · price: On March 20, 2025, Patriot National Bancorp, Inc. (the "Issuer") completed its private placement of: (i) shares of the Issuer's voting common stock, par value $0.01 per share ("Voting Common Stock"), at a purchase price of $0.75 per share, and (ii) shares of a new series of the Issuer's preferred stock, no par value per share (the "Series A Preferred Stock"), with a liquidation preference of $60 per share (the "Private Placement"). Steven and Ainslie Sugarman Living Trust (the "Trust") purchased, as part of the Private Placement, 19,167 shares of Series A Preferred Stock, convertible into 1,533,333 shares of Voting Common Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act")) of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · price: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F1 · derivative.exercise_date: On March 20, 2025, Patriot National Bancorp, Inc. (the "Issuer") completed its private placement of: (i) shares of the Issuer's voting common stock, par value $0.01 per share ("Voting Common Stock"), at a purchase price of $0.75 per share, and (ii) shares of a new series of the Issuer's preferred stock, no par value per share (the "Series A Preferred Stock"), with a liquidation preference of $60 per share (the "Private Placement"). Steven and Ainslie Sugarman Living Trust (the "Trust") purchased, as part of the Private Placement, 19,167 shares of Series A Preferred Stock, convertible into 1,533,333 shares of Voting Common Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act")) of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · derivative.exercise_date: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F1 · derivative.expiration_date: On March 20, 2025, Patriot National Bancorp, Inc. (the "Issuer") completed its private placement of: (i) shares of the Issuer's voting common stock, par value $0.01 per share ("Voting Common Stock"), at a purchase price of $0.75 per share, and (ii) shares of a new series of the Issuer's preferred stock, no par value per share (the "Series A Preferred Stock"), with a liquidation preference of $60 per share (the "Private Placement"). Steven and Ainslie Sugarman Living Trust (the "Trust") purchased, as part of the Private Placement, 19,167 shares of Series A Preferred Stock, convertible into 1,533,333 shares of Voting Common Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act")) of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · derivative.expiration_date: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F4 · ownership.nature: The Trust is a revocable living trust for the benefit of the Reporting Person and his spouse. The Reporting Person and his spouse are the trustees of the Trust.

SEC source: 0001437749-25-022374 · rdgdoc.xml · derivative · entry 1

Sugarman Steven · CIK 0001504590 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By Steven and Ainslie Sugarman Living Trust

Disclosed balance after: 0

Underlying: Non-Voting Common Stock · 1,533,333 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On March 20, 2025, Patriot National Bancorp, Inc. (the "Issuer") completed its private placement of: (i) shares of the Issuer's voting common stock, par value $0.01 per share ("Voting Common Stock"), at a purchase price of $0.75 per share, and (ii) shares of a new series of the Issuer's preferred stock, no par value per share (the "Series A Preferred Stock"), with a liquidation preference of $60 per share (the "Private Placement"). Steven and Ainslie Sugarman Living Trust (the "Trust") purchased, as part of the Private Placement, 19,167 shares of Series A Preferred Stock, convertible into 1,533,333 shares of Voting Common Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act")) of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · derivative.exercise_price: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F1 · kind: On March 20, 2025, Patriot National Bancorp, Inc. (the "Issuer") completed its private placement of: (i) shares of the Issuer's voting common stock, par value $0.01 per share ("Voting Common Stock"), at a purchase price of $0.75 per share, and (ii) shares of a new series of the Issuer's preferred stock, no par value per share (the "Series A Preferred Stock"), with a liquidation preference of $60 per share (the "Private Placement"). Steven and Ainslie Sugarman Living Trust (the "Trust") purchased, as part of the Private Placement, 19,167 shares of Series A Preferred Stock, convertible into 1,533,333 shares of Voting Common Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act")) of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · kind: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F1 · price: On March 20, 2025, Patriot National Bancorp, Inc. (the "Issuer") completed its private placement of: (i) shares of the Issuer's voting common stock, par value $0.01 per share ("Voting Common Stock"), at a purchase price of $0.75 per share, and (ii) shares of a new series of the Issuer's preferred stock, no par value per share (the "Series A Preferred Stock"), with a liquidation preference of $60 per share (the "Private Placement"). Steven and Ainslie Sugarman Living Trust (the "Trust") purchased, as part of the Private Placement, 19,167 shares of Series A Preferred Stock, convertible into 1,533,333 shares of Voting Common Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act")) of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · price: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F1 · derivative.exercise_date: On March 20, 2025, Patriot National Bancorp, Inc. (the "Issuer") completed its private placement of: (i) shares of the Issuer's voting common stock, par value $0.01 per share ("Voting Common Stock"), at a purchase price of $0.75 per share, and (ii) shares of a new series of the Issuer's preferred stock, no par value per share (the "Series A Preferred Stock"), with a liquidation preference of $60 per share (the "Private Placement"). Steven and Ainslie Sugarman Living Trust (the "Trust") purchased, as part of the Private Placement, 19,167 shares of Series A Preferred Stock, convertible into 1,533,333 shares of Voting Common Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act")) of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · derivative.exercise_date: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F1 · derivative.expiration_date: On March 20, 2025, Patriot National Bancorp, Inc. (the "Issuer") completed its private placement of: (i) shares of the Issuer's voting common stock, par value $0.01 per share ("Voting Common Stock"), at a purchase price of $0.75 per share, and (ii) shares of a new series of the Issuer's preferred stock, no par value per share (the "Series A Preferred Stock"), with a liquidation preference of $60 per share (the "Private Placement"). Steven and Ainslie Sugarman Living Trust (the "Trust") purchased, as part of the Private Placement, 19,167 shares of Series A Preferred Stock, convertible into 1,533,333 shares of Voting Common Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act")) of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · derivative.expiration_date: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F4 · ownership.nature: The Trust is a revocable living trust for the benefit of the Reporting Person and his spouse. The Reporting Person and his spouse are the trustees of the Trust.

SEC source: 0001628280-25-040405 · wk-form4a_1755202869.xml · derivative · entry 4

Sugarman Steven · CIK 0001504590 · Director · President

10b5-1 filing: No plan indicated

Ownership: Indirect · By Steven and Ainslie Sugarman Living Trust

Disclosed balance after: 0

Underlying: Non-Voting Common Stock · 466,667 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F4 · derivative.exercise_price: The Trust was also issued 5,833 shares of Series A Preferred Stock, convertible into 466,667 shares of Common Stock, as a reimbursement of the Reporting Person's legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F2 · kind: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F4 · kind: The Trust was also issued 5,833 shares of Series A Preferred Stock, convertible into 466,667 shares of Common Stock, as a reimbursement of the Reporting Person's legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F2 · price: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F4 · price: The Trust was also issued 5,833 shares of Series A Preferred Stock, convertible into 466,667 shares of Common Stock, as a reimbursement of the Reporting Person's legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F2 · derivative.exercise_date: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F4 · derivative.exercise_date: The Trust was also issued 5,833 shares of Series A Preferred Stock, convertible into 466,667 shares of Common Stock, as a reimbursement of the Reporting Person's legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F2 · derivative.expiration_date: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F4 · derivative.expiration_date: The Trust was also issued 5,833 shares of Series A Preferred Stock, convertible into 466,667 shares of Common Stock, as a reimbursement of the Reporting Person's legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · ownership.nature: The Trust is a revocable living trust for the benefit of the Reporting Person and his spouse. The Reporting Person and his spouse are the trustees of the Trust.

SEC source: 0001628280-25-040405 · wk-form4a_1755202869.xml · derivative · entry 3

Sugarman Steven · CIK 0001504590 · Director · President

10b5-1 filing: No plan indicated

Ownership: Indirect · By Steven and Ainslie Sugarman Living Trust

Disclosed balance after: 5,833

Underlying: Non-Voting Common Stock · 1,533,333 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On March 20, 2025, Patriot National Bancorp, Inc. (the Issuer) completed its private placement of: (i) shares of Common Stock, par value $0.01 per share of the Issuer (the Voting Common Stock) at a purchase price of $0.75 per share, and (ii) shares of a new series of the Issuer's preferred stock, no par value per share (the Series A Preferred Stock), with a liquidation preference of $60 per share (the Private Placement). Steven and Ainslie Sugarman Living Trust (the Trust) purchased, as part of the Private Placement, 19,167 shares of Series A Preferred Stock, convertible into 1,533,333 shares of Voting Common Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the Exchange Act)) of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F2 · derivative.exercise_price: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F1 · kind: On March 20, 2025, Patriot National Bancorp, Inc. (the Issuer) completed its private placement of: (i) shares of Common Stock, par value $0.01 per share of the Issuer (the Voting Common Stock) at a purchase price of $0.75 per share, and (ii) shares of a new series of the Issuer's preferred stock, no par value per share (the Series A Preferred Stock), with a liquidation preference of $60 per share (the Private Placement). Steven and Ainslie Sugarman Living Trust (the Trust) purchased, as part of the Private Placement, 19,167 shares of Series A Preferred Stock, convertible into 1,533,333 shares of Voting Common Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the Exchange Act)) of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F2 · kind: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F1 · price: On March 20, 2025, Patriot National Bancorp, Inc. (the Issuer) completed its private placement of: (i) shares of Common Stock, par value $0.01 per share of the Issuer (the Voting Common Stock) at a purchase price of $0.75 per share, and (ii) shares of a new series of the Issuer's preferred stock, no par value per share (the Series A Preferred Stock), with a liquidation preference of $60 per share (the Private Placement). Steven and Ainslie Sugarman Living Trust (the Trust) purchased, as part of the Private Placement, 19,167 shares of Series A Preferred Stock, convertible into 1,533,333 shares of Voting Common Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the Exchange Act)) of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F2 · price: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F1 · derivative.exercise_date: On March 20, 2025, Patriot National Bancorp, Inc. (the Issuer) completed its private placement of: (i) shares of Common Stock, par value $0.01 per share of the Issuer (the Voting Common Stock) at a purchase price of $0.75 per share, and (ii) shares of a new series of the Issuer's preferred stock, no par value per share (the Series A Preferred Stock), with a liquidation preference of $60 per share (the Private Placement). Steven and Ainslie Sugarman Living Trust (the Trust) purchased, as part of the Private Placement, 19,167 shares of Series A Preferred Stock, convertible into 1,533,333 shares of Voting Common Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the Exchange Act)) of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F2 · derivative.exercise_date: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F1 · derivative.expiration_date: On March 20, 2025, Patriot National Bancorp, Inc. (the Issuer) completed its private placement of: (i) shares of Common Stock, par value $0.01 per share of the Issuer (the Voting Common Stock) at a purchase price of $0.75 per share, and (ii) shares of a new series of the Issuer's preferred stock, no par value per share (the Series A Preferred Stock), with a liquidation preference of $60 per share (the Private Placement). Steven and Ainslie Sugarman Living Trust (the Trust) purchased, as part of the Private Placement, 19,167 shares of Series A Preferred Stock, convertible into 1,533,333 shares of Voting Common Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the Exchange Act)) of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F2 · derivative.expiration_date: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F3 · ownership.nature: The Trust is a revocable living trust for the benefit of the Reporting Person and his spouse. The Reporting Person and his spouse are the trustees of the Trust.

SEC source: 0001628280-25-040405 · wk-form4a_1755202869.xml · nonDerivative · entry 2

Sugarman Steven · CIK 0001504590 · Director · President

10b5-1 filing: No plan indicated

Ownership: Indirect · By Steven and Ainslie Sugarman Living Trust

Disclosed balance after: 2,000,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F4 · kind: The Trust was also issued 5,833 shares of Series A Preferred Stock, convertible into 466,667 shares of Common Stock, as a reimbursement of the Reporting Person's legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F2 · price: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F4 · price: The Trust was also issued 5,833 shares of Series A Preferred Stock, convertible into 466,667 shares of Common Stock, as a reimbursement of the Reporting Person's legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F3 · ownership.nature: The Trust is a revocable living trust for the benefit of the Reporting Person and his spouse. The Reporting Person and his spouse are the trustees of the Trust.

SEC source: 0001628280-25-040405 · wk-form4a_1755202869.xml · nonDerivative · entry 1

Sugarman Steven · CIK 0001504590 · Director · President

10b5-1 filing: No plan indicated

Ownership: Indirect · By Steven and Ainslie Sugarman Living Trust

Disclosed balance after: 1,533,333

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On March 20, 2025, Patriot National Bancorp, Inc. (the Issuer) completed its private placement of: (i) shares of Common Stock, par value $0.01 per share of the Issuer (the Voting Common Stock) at a purchase price of $0.75 per share, and (ii) shares of a new series of the Issuer's preferred stock, no par value per share (the Series A Preferred Stock), with a liquidation preference of $60 per share (the Private Placement). Steven and Ainslie Sugarman Living Trust (the Trust) purchased, as part of the Private Placement, 19,167 shares of Series A Preferred Stock, convertible into 1,533,333 shares of Voting Common Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the Exchange Act)) of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F2 · kind: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F1 · price: On March 20, 2025, Patriot National Bancorp, Inc. (the Issuer) completed its private placement of: (i) shares of Common Stock, par value $0.01 per share of the Issuer (the Voting Common Stock) at a purchase price of $0.75 per share, and (ii) shares of a new series of the Issuer's preferred stock, no par value per share (the Series A Preferred Stock), with a liquidation preference of $60 per share (the Private Placement). Steven and Ainslie Sugarman Living Trust (the Trust) purchased, as part of the Private Placement, 19,167 shares of Series A Preferred Stock, convertible into 1,533,333 shares of Voting Common Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the Exchange Act)) of more than 9.99% of the issued and outstanding voting securities of the Issuer.

F2 · price: On July 3, 2025, all issued and outstanding shares of Series A Preferred Stock automatically converted into shares of non-voting common stock, par value $0.01 per share ("Non-Voting Common Stock"), of the Issuer, pursuant to the terms of the Amended and Restated Certificate of Incorporation of the Issuer. Series A Preferred Stock had no expiration date. Each share of Non-Voting Common Stock is convertible into one share of Voting Common Stock, subject to the terms of the Amended and Restated Certificate of Incorporation of the Issuer, including the limitation that no holder of Non-Voting Common Stock has the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of the issued and outstanding voting securities of the Issuer. Voting Common Stock has no expiration date.

F3 · ownership.nature: The Trust is a revocable living trust for the benefit of the Reporting Person and his spouse. The Reporting Person and his spouse are the trustees of the Trust.

SEC source: 0001437749-26-018295 · rdgdoc.xml · derivative · entry 2

De Tomasi Mario · CIK 0002078030 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,667

Underlying: Common Stock · 66,667 shares

Expires 2028-07-01

F2 · shares: On July 1, 2025, the Reporting Person was granted Restricted Stock Units ("RSUs") equal to 66,667 shares of Common Stock of the Issuer, which will vest over 3 years (22,222 shares, 22,222 shares, and 22,223 shares respectively as of July 1, 2026, 2027 and 2028).

F2 · derivative.exercise_date: On July 1, 2025, the Reporting Person was granted Restricted Stock Units ("RSUs") equal to 66,667 shares of Common Stock of the Issuer, which will vest over 3 years (22,222 shares, 22,222 shares, and 22,223 shares respectively as of July 1, 2026, 2027 and 2028).

F2 · derivative.expiration_date: On July 1, 2025, the Reporting Person was granted Restricted Stock Units ("RSUs") equal to 66,667 shares of Common Stock of the Issuer, which will vest over 3 years (22,222 shares, 22,222 shares, and 22,223 shares respectively as of July 1, 2026, 2027 and 2028).

F2 · derivative.underlying_shares: On July 1, 2025, the Reporting Person was granted Restricted Stock Units ("RSUs") equal to 66,667 shares of Common Stock of the Issuer, which will vest over 3 years (22,222 shares, 22,222 shares, and 22,223 shares respectively as of July 1, 2026, 2027 and 2028).

SEC source: 0001628280-25-025842 · wk-form4_1747338620.xml · nonDerivative · entry 1

Carrazza Michael A. · CIK 0001498203 · Director · Chairman of the Board

10b5-1 filing: No plan indicated

Ownership: Indirect · By Solaia Capital Holdings LLC

Disclosed balance after: 865,990

F1 · balance_after: On May 13, 2025, Solaia Capital Holdings LLC purchased the outstanding principal balance and accrued unpaid interest of $649,492.84 of a 8.50% Fixed Rate Senior Note Due January 15, 2026 previously issued by the Issuer and converted it into 865,990 shares of Common Stock at $0.75 per share.

F2 · ownership.nature: As the manager of Solaia Capital Holdings LLC, the Reporting Person has voting and dispositive power over the shares held by Solaia Capital Holdings LLC.

SEC source: 0001628280-25-016057 · wk-form4_1743558827.xml · derivative · entry 4

Sugarman Steven · CIK 0001504590 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,049,593

Underlying: Common Stock · 4,049,593 shares

Expires 2026-03-20

F5 · derivative.exercise_price: Restricted Stock Units (RSUs) were granted pursuant to the Employment Agreement between the Reporting Person and the Issuer, effective as of March 20, 2025. RSUs vest in 12 equal monthly installments commencing on March 20, 2025 and expires on March 20, 2026. Vested RSUs represent the right to be settled on the date of the expiration, provided that if: (i) the 2025 Omnibus Equity Incentive Plan (the Plan) has not been approved by its shareholders, each vested RSU will be settled in cash equal to the fair market value of one share of Common Stock as of March 20, 2026; or (ii) the Plan has been approved by the shareholders of the Issuer, each vested RSU will be settled in one share of Common Stock and with no cash settlement option, subject to the limitation that the Reporting Person does not have the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of shares of the voting securities issued and outstanding of the Issuer.

F5 · shares: Restricted Stock Units (RSUs) were granted pursuant to the Employment Agreement between the Reporting Person and the Issuer, effective as of March 20, 2025. RSUs vest in 12 equal monthly installments commencing on March 20, 2025 and expires on March 20, 2026. Vested RSUs represent the right to be settled on the date of the expiration, provided that if: (i) the 2025 Omnibus Equity Incentive Plan (the Plan) has not been approved by its shareholders, each vested RSU will be settled in cash equal to the fair market value of one share of Common Stock as of March 20, 2026; or (ii) the Plan has been approved by the shareholders of the Issuer, each vested RSU will be settled in one share of Common Stock and with no cash settlement option, subject to the limitation that the Reporting Person does not have the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of shares of the voting securities issued and outstanding of the Issuer.

F5 · derivative.underlying_shares: Restricted Stock Units (RSUs) were granted pursuant to the Employment Agreement between the Reporting Person and the Issuer, effective as of March 20, 2025. RSUs vest in 12 equal monthly installments commencing on March 20, 2025 and expires on March 20, 2026. Vested RSUs represent the right to be settled on the date of the expiration, provided that if: (i) the 2025 Omnibus Equity Incentive Plan (the Plan) has not been approved by its shareholders, each vested RSU will be settled in cash equal to the fair market value of one share of Common Stock as of March 20, 2026; or (ii) the Plan has been approved by the shareholders of the Issuer, each vested RSU will be settled in one share of Common Stock and with no cash settlement option, subject to the limitation that the Reporting Person does not have the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of shares of the voting securities issued and outstanding of the Issuer.

F5 · balance_after: Restricted Stock Units (RSUs) were granted pursuant to the Employment Agreement between the Reporting Person and the Issuer, effective as of March 20, 2025. RSUs vest in 12 equal monthly installments commencing on March 20, 2025 and expires on March 20, 2026. Vested RSUs represent the right to be settled on the date of the expiration, provided that if: (i) the 2025 Omnibus Equity Incentive Plan (the Plan) has not been approved by its shareholders, each vested RSU will be settled in cash equal to the fair market value of one share of Common Stock as of March 20, 2026; or (ii) the Plan has been approved by the shareholders of the Issuer, each vested RSU will be settled in one share of Common Stock and with no cash settlement option, subject to the limitation that the Reporting Person does not have the right to become the beneficial owner (as determined under Rule 13d-3 under the Exchange Act) of more than 9.99% of shares of the voting securities issued and outstanding of the Issuer.

SEC source: 0001628280-25-016057 · wk-form4_1743558827.xml · derivative · entry 3

Sugarman Steven · CIK 0001504590 · Director · President

10b5-1 filing: No plan indicated

Ownership: Indirect · By Steven and Ainslie Sugarman Living Trust

Disclosed balance after: 25,000

Underlying: Common Stock · 466,667 shares

Expires not disclosed

F4 · kind: The Trust was issued 5,833 shares of Series A Preferred Stock convertible into 466,667 shares of Common Stock at the pre-funded conversion price of $0.75 per share, as a reimbursement of the Reporting Persons legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the number of shares of the voting securities issued and outstanding of the Issuer.

F4 · price: The Trust was issued 5,833 shares of Series A Preferred Stock convertible into 466,667 shares of Common Stock at the pre-funded conversion price of $0.75 per share, as a reimbursement of the Reporting Persons legal fees and expenses relating to the Private Placement, subject to the limitation that the Reporting Person does not have the right to become, directly or indirectly, the beneficial owner of more than 9.99% of the number of shares of the voting securities issued and outstanding of the Issuer.

F3 · derivative.expiration_date: Series A Preferred Stock is perpetual and therefore has no expiration date.

F2 · ownership.nature: The Trust is a revocable living trust for the benefit of the Reporting Person and his spouse. The Reporting Person and his spouse are the trustees of the Trust.

SEC source: 0001628280-25-016057 · wk-form4_1743558827.xml · derivative · entry 2

Sugarman Steven · CIK 0001504590 · Director · President

10b5-1 filing: No plan indicated

Ownership: Indirect · By Steven and Ainslie Sugarman Living Trust

Disclosed balance after: 19,167

Underlying: Common Stock · 1,533,333 shares

Expires not disclosed

F1 · kind: On March 20, 2025, Patriot National Bancorp, Inc. (the Issuer) completed its private placement of: (i) shares of common stock, par value $0.01 per share (Common Stock), at a purchase price of $0.75 per share, and (ii) shares of a new series of preferred stock, no par value per share (the Series A Preferred Stock), with a liquidation preference of $60 per share (the Private Placement). Steven and Ainslie Sugarman Living Trust (the Trust) purchased, as part of the Private Placement: (i) 7,019,978 shares of Common Stock and (ii) 19,167 shares of Series A Preferred Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the Exchange Act)) of more than 9.99% of the voting securities issued and outstanding of the Issuer.

F1 · price: On March 20, 2025, Patriot National Bancorp, Inc. (the Issuer) completed its private placement of: (i) shares of common stock, par value $0.01 per share (Common Stock), at a purchase price of $0.75 per share, and (ii) shares of a new series of preferred stock, no par value per share (the Series A Preferred Stock), with a liquidation preference of $60 per share (the Private Placement). Steven and Ainslie Sugarman Living Trust (the Trust) purchased, as part of the Private Placement: (i) 7,019,978 shares of Common Stock and (ii) 19,167 shares of Series A Preferred Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the Exchange Act)) of more than 9.99% of the voting securities issued and outstanding of the Issuer.

F3 · derivative.expiration_date: Series A Preferred Stock is perpetual and therefore has no expiration date.

F2 · ownership.nature: The Trust is a revocable living trust for the benefit of the Reporting Person and his spouse. The Reporting Person and his spouse are the trustees of the Trust.

SEC source: 0001628280-25-016057 · wk-form4_1743558827.xml · nonDerivative · entry 1

Sugarman Steven · CIK 0001504590 · Director · President

10b5-1 filing: No plan indicated

Ownership: Indirect · By Steven and Ainslie Sugarman Living Trust

Disclosed balance after: 7,019,978

F1 · kind: On March 20, 2025, Patriot National Bancorp, Inc. (the Issuer) completed its private placement of: (i) shares of common stock, par value $0.01 per share (Common Stock), at a purchase price of $0.75 per share, and (ii) shares of a new series of preferred stock, no par value per share (the Series A Preferred Stock), with a liquidation preference of $60 per share (the Private Placement). Steven and Ainslie Sugarman Living Trust (the Trust) purchased, as part of the Private Placement: (i) 7,019,978 shares of Common Stock and (ii) 19,167 shares of Series A Preferred Stock, subject to the limitation that no investor in the Private Placement has the right to become the beneficial owner (as determined under Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the Exchange Act)) of more than 9.99% of the voting securities issued and outstanding of the Issuer.

F2 · ownership.nature: The Trust is a revocable living trust for the benefit of the Reporting Person and his spouse. The Reporting Person and his spouse are the trustees of the Trust.

SEC source: 0001628280-24-040159 · wk-form4_1726089427.xml · nonDerivative · entry 1

Finn David · CIK 0002036309 · EVP & Senior Finance Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,125

F1 · shares: On August 19, 2024, the Reporting Person was granted under the Issuer's 2020 Stock Plan 53,125 shares of common stock, which will vest annually in equal installments over three years (17,708 shares, 17,708 shares, and 17,709 shares respectively on August 5, 2025, 2026, and 2027).

SEC source: 0001628280-24-021316 · wk-form4_1715131149.xml · nonDerivative · entry 1

Weinbaum Michael J · CIK 0001324232 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,320

F1 · shares: On May 6, 2024, the Reporting Person was granted under the Issuer's 2020 Stock Plan 3,846 shares of common stock, which will vest annually in equal installments over four years (961 shares, 961 shares, 962 shares and 962 shares respectively as of December 31, 2024, 2025, 2026 and 2027).

SEC source: 0001628280-24-021313 · wk-form4_1715130672.xml · nonDerivative · entry 1

Van den Bol Emile · CIK 0001500964 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,933

F1 · shares: On May 6, 2024, the Reporting Person was granted under the Issuer's 2020 Stock Plan 3,846 shares of common stock, which will vest annually in equal installments over four years (961 shares, 961 shares, 962 shares and 962 shares respectively as of December 31, 2024, 2025, 2026 and 2027).

SEC source: 0001628280-24-021305 · wk-form4_1715129664.xml · nonDerivative · entry 1

Constantino Edward N. · CIK 0001498322 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,320

F1 · shares: On May 6, 2024, the Reporting Person was granted under the Issuer's 2020 Stock Plan 3,846 shares of common stock, which will vest annually in equal installments over four years (961 shares, 961 shares, 962 shares and 962 shares respectively as of December 31, 2024, 2025, 2026 and 2027).

SEC source: 0001628280-24-021903 · wk-form4_1715217965.xml · nonDerivative · entry 1

Lowery David Christopher · CIK 0001861404 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,790

F1 · shares: On May 6, 2024, the Reporting Person was granted under the Issuer's 2020 Stock Plan 65,790 shares of common stock, which will vest on May 6, 2027.

SEC source: 0001628280-24-022130 · wk-form4_1715279871.xml · nonDerivative · entry 1

Doherty Grace · CIK 0001986993 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,818

F1 · shares: On May 6, 2024, the Reporting Person was granted under the Issuer's 2020 Stock Plan 3,846 shares of common stock, which will vest annually in equal installments over four years (961 shares, 961 shares, 962 shares and 962 shares respectively as of December 31, 2024, 2025, 2026 and 2027).

SEC source: 0001628280-24-017001 · wk-form4_1713566788.xml · nonDerivative · entry 1

Staudmyer Frederick · CIK 0001626266 · Secretary and Chief HR Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,161

F1 · shares: On March 18, 2024, the Reporting Person was granted 3,958 shares of the Issuer's common stock which vest annually in equal installments over three years (1,319 shares, 1,319 shares and 1,320 shares respectively as of December 31, 2024, 2025 and 2026).

SEC source: 0001628280-24-016995 · wk-form4_1713565282.xml · nonDerivative · entry 1

Slater Thomas E. · CIK 0001954445 · EVP & Chief Credit Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,348

F1 · shares: On March 18, 2024, the Reporting Person was granted 3,958 shares of the Issuer's common stock which will vest annually in equal installments over three years (1,319 shares, 1,319 shares, and 1,320 shares respectively as of December 31, 2024, 2025, and 2026).

SEC source: 0001628280-24-017043 · wk-form4_1713796707.xml · nonDerivative · entry 1

Grunblatt Steven Brian · CIK 0001860990 · EVP & Chief Information Office

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,243

F1 · shares: On March 18, 2024, the Reporting Person was granted 2,243 shares of the Issuer's common stock which vest annually in equal installments over three years (747 shares, 748 shares and 748 shares respectively as of December 31, 2024, 2025 and 2026).

SEC source: 0001628280-23-033878 · wk-form4_1696463165.xml · nonDerivative · entry 1

Doherty Grace · CIK 0001986993 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 972

F1 · shares: On October 2, 2023, the Reporting Person was granted under the Issuer's 2020 Stock Plan 972 shares of common stock, which will vest annually in equal installments over four years (243 shares, 243 shares, 243 shares and 243 shares respectively as of December 31, 2023, 2024, 2025 and 2026).

SEC source: 0001628280-23-032705 · wk-form4_1695247372.xml · nonDerivative · entry 1

Constantino Edward N. · CIK 0001498322 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,474

F1 · shares: On April 7, 2023, the Reporting Person was granted under the Issuer's 2020 Stock Plan 1,587 shares of common stock, which will vest annually in equal installments over four years (396 shares, 397 shares, 397 shares and 397 shares respectively as of December 31, 2023, 2024, 2025 and 2026).

SEC source: 0001628280-23-033238 · wk-form4_1696000650.xml · nonDerivative · entry 1

Van den Bol Emile · CIK 0001500964 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,087

F1 · shares: On April 7, 2023, the Reporting Person was granted under the Issuer's 2020 Stock Plan 1,587 shares of common stock, which will vest annually in equal installments over four years (396 shares, 397 shares, 397 shares and 397 shares respectively on December 31, 2023, 2024, 2025 and 2026).

SEC source: 0001628280-23-033471 · wk-form4_1696276654.xml · nonDerivative · entry 2

Weinbaum Michael J · CIK 0001324232 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,474

F2 · shares: On April 7, 2023, the Reporting Person was granted under the Issuer's 2020 Stock Plan 1,587 shares of common stock, which will vest annually in equal installments over four years (396 shares, 397 shares, 397 shares and 397 shares respectively as of December 31, 2023, 2024, 2025 and 2026).

SEC source: 0001628280-23-033471 · wk-form4_1696276654.xml · nonDerivative · entry 1

Weinbaum Michael J · CIK 0001324232 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 342,172

F1 · shares: The reported securities are held by AFP Forty Six Corp. On March 1, 2023, the Reporting Person was elected President of AFP Forty Six Corp. As President of AFP Forty Six Corp., the Reporting Person has voting and investment control over the securities held by AFP Forty Six Corp. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for Section 16 or any other purpose.

F1 · ownership.nature: The reported securities are held by AFP Forty Six Corp. On March 1, 2023, the Reporting Person was elected President of AFP Forty Six Corp. As President of AFP Forty Six Corp., the Reporting Person has voting and investment control over the securities held by AFP Forty Six Corp. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for Section 16 or any other purpose.

SEC source: 0001954445-23-000001 · wf-form4_167347611779449.xml · nonDerivative · entry 1

Slater Thomas E. · CIK 0001954445 · EVP & Chief Credit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,390

F1 · shares: On January 10, 2023, the Reporting Person was granted 7,390 shares of the Issuer's common stock which will vest annually in equal installments over three years (2,463 shares, 2,463 shares, and 2,464 shares respectively as of December 15, 2023, 2024, and 2025).

SEC source: 0001437749-22-008443 · rdgdoc.xml · nonDerivative · entry 1

Weinbaum Michael J · CIK 0001324232 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,887

F1 · shares: On April 4, 2022, the Reporting Person was granted under the Issuer's 2020 Stock Plan 832 shares of common stock, which will vest annually in equal installments over four years (208 shares, 208 shares, 208 shares and 208 shares respectively as of December 31, 2022, 2023, 2024 and 2025).

SEC source: 0001437749-22-008442 · rdgdoc.xml · nonDerivative · entry 1

Constantino Edward N. · CIK 0001498322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,887

F1 · shares: On April 4, 2022, the Reporting Person was granted under the Issuer's 2020 Stock Plan 832 shares of common stock, which will vest annually in equal installments over four years (208 shares, 208 shares, 208 shares and 208 shares respectively as of December 31, 2022, 2023, 2024 and 2025).

SEC source: 0001437749-22-008441 · rdgdoc.xml · nonDerivative · entry 1

Van den Bol Emile · CIK 0001500964 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,500

F1 · shares: On April 4, 2022, the Reporting Person was granted under the Issuer's 2020 Stock Plan 832 shares of common stock, which will vest annually in equal installments over four years (208 shares, 208 shares, 208 shares and 208 shares respectively as of December 31, 2022, 2023, 2024 and 2025).

SEC source: 0001437749-21-019207 · rdgdoc.xml · nonDerivative · entry 1

PERILLO JOSEPH D · CIK 0001242325 · Exec VP & CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · Through IRA account

Disclosed balance after: 3,185

F1 · shares: On August 6, 2021, the Reporting Person purchased through his IRA account a total of 3,185 shares of the Issuer's common stock on the open market at an average price of $8.993 per share.

SEC source: 0001437749-21-008596 · rdgdoc.xml · nonDerivative · entry 1

Constantino Edward N. · CIK 0001498322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,055

F1 · shares: On April 2, 2021, the Reporting Person was granted under the Issuer's 2020 Stock Plan 1,369 shares of common stock, which will vest annually in equal installments over four years (342 shares, 342 shares, 342 shares and 343 shares respectively as of December 31, 2021, 2022, 2023 and 2024).

SEC source: 0001437749-21-008595 · rdgdoc.xml · nonDerivative · entry 1

Smyth Raymond B. · CIK 0001450495 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,611

F1 · shares: On April 2, 2021, the Reporting Person was granted under the Issuer's 2020 Stock Plan 1,369 shares of common stock, which will vest annually in equal installments over four years (342 shares, 342 shares, 342 shares and 343 shares respectively as of December 31, 2021, 2022, 2023 and 2024).

SEC source: 0001437749-21-008594 · rdgdoc.xml · nonDerivative · entry 1

Van den Bol Emile · CIK 0001500964 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,668

F1 · shares: On April 2, 2021, the Reporting Person was granted under the Issuer's 2020 Stock Plan 1,369 shares of common stock, which will vest annually in equal installments over four years (342 shares, 342 shares, 342 shares and 343 shares respectively as of December 31, 2021, 2022, 2023 and 2024).

SEC source: 0001437749-21-008654 · rdgdoc.xml · nonDerivative · entry 1

Weinbaum Michael J · CIK 0001324232 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,055

F1 · shares: On April 2, 2021, the Reporting Person was granted under the Issuer's 2020 Stock Plan 1,369 shares of common stock, which will vest annually in equal installments over four years (342 shares, 342 shares, 342 shares and 343 shares respectively as of December 31, 2021, 2022, 2023 and 2024).

SEC source: 0001437749-21-008122 · rdgdoc.xml · nonDerivative · entry 6

Carrazza Michael A. · CIK 0001498203 · Director · Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,033

F6 · shares: Sponsor transferred 815 shares of common stock to the Reporting Person on March 31, 2021.

SEC source: 0001437749-21-008122 · rdgdoc.xml · nonDerivative · entry 5

Carrazza Michael A. · CIK 0001498203 · Director · Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,218

F5 · shares: The Reporting Person received its pro rata allocation of 31,787 shares of common stock in the March 2021 In-Kind Distribution.

SEC source: 0001437749-21-008122 · rdgdoc.xml · nonDerivative · entry 4

Carrazza Michael A. · CIK 0001498203 · Director · Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Solaia Capital Management Profit Sharing Plan FBO Michael A. Carrazza

Disclosed balance after: 12,221

F4 · shares: Solaia Capital Management Profit Sharing Plan FBO Michael A. Carrazza received its pro rata allocation of 4,890 shares of common stock in the March 2021 In-Kind Distribution.

SEC source: 0001437749-21-008122 · rdgdoc.xml · nonDerivative · entry 3

Carrazza Michael A. · CIK 0001498203 · Director · Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By PNBK Holdings LLC

Disclosed balance after: 0

F3 · shares: On March 31, 2021, Holdings made a pro-rata in-kind distribution of a total of 2,237,535 shares of common stock of the Issuer (the "March 2021 In-Kind Distribution"). Following such distribution, Holdings no longer owns any shares of the Issuer.

F1 · ownership.nature: The Reporting Person is the managing member of PNBK Sponsor LLC ("Sponsor"), which is the managing member of PNBK Holdings LLC ("Holdings"); therefore, the Reporting Person may be deemed to indirectly beneficially own the shares directly owned by Sponsor and Holdings.

SEC source: 0001437749-21-008122 · rdgdoc.xml · nonDerivative · entry 1

Carrazza Michael A. · CIK 0001498203 · Director · Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By PNBK Sponsor LLC

Disclosed balance after: 0

F6 · shares: Sponsor transferred 815 shares of common stock to the Reporting Person on March 31, 2021.

F1 · ownership.nature: The Reporting Person is the managing member of PNBK Sponsor LLC ("Sponsor"), which is the managing member of PNBK Holdings LLC ("Holdings"); therefore, the Reporting Person may be deemed to indirectly beneficially own the shares directly owned by Sponsor and Holdings.

SEC source: 0001437749-21-008116 · rdgdoc.xml · nonDerivative · entry 1

Van den Bol Emile · CIK 0001500964 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,299

F1 · shares: On March 31, 2021, the Reporting Person received 34,232 shares of restricted common stock of the Issuer from PNBK Holdings LLC in a pro-rata in-kind distribution.

SEC source: 0001437749-21-008122 · rdgdoc.xml · nonDerivative · entry 2

Carrazza Michael A. · CIK 0001498203 · Director · Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By PNBK Holdings LLC

Disclosed balance after: 2,237,535

F2 · shares: On January 22, 2021, Holdings made an in-kind distribution of 256,629 shares of restricted common stock of the Issuer.

F1 · ownership.nature: The Reporting Person is the managing member of PNBK Sponsor LLC ("Sponsor"), which is the managing member of PNBK Holdings LLC ("Holdings"); therefore, the Reporting Person may be deemed to indirectly beneficially own the shares directly owned by Sponsor and Holdings.

SEC source: 0001437749-20-021289 · rdgdoc.xml · nonDerivative · entry 4

Carrazza Michael A. · CIK 0001498203 · Director · Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By PNBK Holdings LLC

Disclosed balance after: 2,494,164

F2 · shares: On October 15, 2020, Holdings commenced an in-kind distribution of 25,836 shares of restricted common stock of the Issuer.

F1 · ownership.nature: The Reporting Person is the managing member of PNBK Sponsor LLC ("Sponsor"), which is the managing member of PNBK Holdings LLC ("Holdings"); therefore, the Reporting Person may be deemed to indirectly beneficially own the shares directly owned by Sponsor and Holdings.

SEC source: 0001437749-20-019104 · rdgdoc.xml · nonDerivative · entry 2

RUSSELL ROBERT GLENN · CIK 0001629952 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

F1 · shares: On September 1, 2020, the Reporting Person purchased on the open market 2,500 shares of the Issuer's common stock at a price of $5.8714 per share through his IRA account, and another 2,500 shares of common stock at a price of $6.2564 per share.

SEC source: 0001437749-20-019104 · rdgdoc.xml · nonDerivative · entry 1

RUSSELL ROBERT GLENN · CIK 0001629952 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA FBO Robert Russell Pershing, LLC as Custodian

Disclosed balance after: 2,500

F1 · shares: On September 1, 2020, the Reporting Person purchased on the open market 2,500 shares of the Issuer's common stock at a price of $5.8714 per share through his IRA account, and another 2,500 shares of common stock at a price of $6.2564 per share.

SEC source: 0001437749-20-011428 · rdgdoc.xml · nonDerivative · entry 1

Constantino Edward N. · CIK 0001498322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,686

F1 · shares: On April 1, 2020, the Reporting Person was granted 3,121 shares of the Issuer's common stock which will vest annually in equal installments over four years (780 shares, 780 shares, 780 shares and 781 shares respectively as of December 31, 2020, 2021, 2022 and 2023).