Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PATRIOT NATIONAL BANCORP INCPNBK · Entity 6625 | Director · President and CEO | October 01, 2026 | October 02, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
PATRIOT NATIONAL BANCORP INC
Report date October 01, 2026 · Filed October 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Voting Common StockSEC Table I · non-derivative | Direct | 2,901,531 |
Ending reported balance
After 2026-10-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-10-01 · Exercise / conversion · Acquired 1,147,031 · Balance 3,485,140 F1: On October 1, 2026, upon the expiration of the restricted period on 1,147,031 restricted stock units ("RSUs") granted to the reporting person pursuant to an award agreement effective October 1, 2025 (previously disclosed in a Form 4 filed on October 23, 2025), 1,147,031 RSUs settled and the Issuer delivered shares of Common Stock in settlement thereof. No consideration was paid by the Reporting Person in connection with the settlement. Row 2 · 2026-10-01 · Tax withholding · Disposed 583,609 · Balance 2,901,531 F2: Represents 583,609 shares of Common Stock withheld by the Issuer upon settlement of the RSUs to satisfy the Reporting Person's applicable tax withholding obligations. The shares were withheld at a price of $1.00 per share, representing the closing price of the Issuer's Common Stock on September 25, 2026. The withheld shares were not delivered to the Reporting Person. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2026-10-01 | Direct | 133,884 |
Reported balance
After 2026-10-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-10-01 · Exercise / conversion · Disposed 1,147,031 · Balance 133,884 F1: On October 1, 2026, upon the expiration of the restricted period on 1,147,031 restricted stock units ("RSUs") granted to the reporting person pursuant to an award agreement effective October 1, 2025 (previously disclosed in a Form 4 filed on October 23, 2025), 1,147,031 RSUs settled and the Issuer delivered shares of Common Stock in settlement thereof. No consideration was paid by the Reporting Person in connection with the settlement. |
| Voting Common StockSEC Table I · non-derivative | IndirectBy Steven and Ainslie Sugarman Living Trust | 9,019,978 |
Reported balance
Holding disclosure · report date 2026-10-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 9,019,978 F3: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: On October 1, 2026, upon the expiration of the restricted period on 1,147,031 restricted stock units ("RSUs") granted to the reporting person pursuant to an award agreement effective October 1, 2025 (previously disclosed in a Form 4 filed on October 23, 2025), 1,147,031 RSUs settled and the Issuer delivered shares of Common Stock in settlement thereof. No consideration was paid by the Reporting Person in connection with the settlement.
F2: Represents 583,609 shares of Common Stock withheld by the Issuer upon settlement of the RSUs to satisfy the Reporting Person's applicable tax withholding obligations. The shares were withheld at a price of $1.00 per share, representing the closing price of the Issuer's Common Stock on September 25, 2026. The withheld shares were not delivered to the Reporting Person.
F3: 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.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
BANC OF CALIFORNIA, INC.
Report date January 23, 2017 · Filed January 26, 2017
Section 16 reporting ended · disclosed 2017-01-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 213,567 |
Reported balance
After 2017-01-23 transaction · row 1
1 source rowRow 1 · 2017-01-23 · Tax withholding · Disposed 121,935 · Balance 213,567 F1: Shares disposed to satisfy Mr. Sugarman's tax liability incurred by the accelerated vesting of 251,005 shares previously granted to him as an award on April 26, 2016. This award was previously scheduled to vest in full on April 1, 2017, but was subject to certain restrictions on transfer until April 1, 2021. Pursuant to the terms and conditions of the Separation Agreement entered into by the Issuer and Mr. Sugarman on January 23, 2017 (the "Separation Agreement"), the shares not otherwise withheld to satisfy Mr. Sugarman's tax liability are now fully vested, and are no longer subject to the former transfer restrictions. |
| Common StockSEC Table I · non-derivative | IndirectBy Steven Sugarman IRA | 7,860 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 7,860 |
| Common StockSEC Table I · non-derivative | IndirectBy Steven and Ainslie Sugarman Living Trust | 112,274 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 112,274 |
| Common StockSEC Table I · non-derivative | IndirectBy Steven Sugarman Roth IRA | 2,000 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 2,000 |
| Common StockSEC Table I · non-derivative | IndirectBy Ainslie Sugarman Roth IRA | 282 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 282 |
| Common StockSEC Table I · non-derivative | IndirectBy Ainslie Sugarman IRA | 4,700 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 4,700 |
| Common StockSEC Table I · non-derivative | IndirectBy Charles Schwab & Co Inc., Cust Sugarman Enterprises, Inc. 401K FBO Ainslie Sugarman | 10,200 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 10,200 |
| Common StockSEC Table I · non-derivative | IndirectBy the Steven and Ainslie Sugarman Family Irrevocable Trust | 35,000 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 35,000 |
| Common StockSEC Table I · non-derivative | IndirectBy Cole Sugarman Roth IRA | 728 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 728 |
| Common StockSEC Table I · non-derivative | IndirectBy Hailey Sugarman Roth IRA | 700 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 700 |
| Common StockSEC Table I · non-derivative | IndirectBy Sierra Sugarman Roth IRA | 1,475 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 11
Holding and transaction disclosures are not merged.
1 source rowRow 11 · Balance 1,475 |
| 8.00% Non-Cumulative Perpetual Preferred Stock, Series CSEC Table I · non-derivative | IndirectBy Steven and Ainslie Sugarman Living Trust | 4,000 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 12
Holding and transaction disclosures are not merged.
1 source rowRow 12 · Balance 4,000 |
| Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $15.81 · Expires 2021-06-27 | Direct | 16,165 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · Balance 16,165 |
| Warrant to Purchase Class B Non-Voting Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $11.00 | IndirectBy Steven and Ainslie Sugarman Living Trust | 480,000 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · Balance 480,000 F2: The exercise price of the Warrant is subject to certain automatic adjustments in accordance with the terms thereof. Based on these automatic adjustments to the original $11.00 exercise price, it has been determined that the exercise price of the Warrant is $8.72 as of December 31, 2016. F3: Warrants vested in accordance with the following schedule: 50,000 shares vested on October 11, 2011 and the remainder vested in seven equal quarterly installments, beginning January 1, 2012. F4: Warrants expire five years from the date vested. |
| Stock Appreciation RightsSEC Table II · derivative / convertible security · Conversion / exercise price $12.83 · Expires 2022-08-22 | Direct | 70,877 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · Balance 70,877 F5: Each of these Stock Appreciation Rights ("SARs") became fully vested on August 21, 2014. |
| Stock Appreciation RightsSEC Table II · derivative / convertible security · Conversion / exercise price $13.06 · Expires 2022-08-22 | Direct | 150,933 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · Balance 150,933 F5: Each of these Stock Appreciation Rights ("SARs") became fully vested on August 21, 2014. |
| Stock Appreciation RightsSEC Table II · derivative / convertible security · Conversion / exercise price $13.60 · Expires 2022-08-22 | Direct | 88,366 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · Balance 88,366 F5: Each of these Stock Appreciation Rights ("SARs") became fully vested on August 21, 2014. |
| Stock Appreciation RightsSEC Table II · derivative / convertible security · Conversion / exercise price $12.12 · Expires 2022-08-22 | Direct | 500,000 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · Balance 500,000 F5: Each of these Stock Appreciation Rights ("SARs") became fully vested on August 21, 2014. |
| Stock Appreciation RightsSEC Table II · derivative / convertible security · Conversion / exercise price $13.55 · Expires 2022-08-22 | Direct | 15,275 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · Balance 15,275 F5: Each of these Stock Appreciation Rights ("SARs") became fully vested on August 21, 2014. |
| Stock Appreciation RightsSEC Table II · derivative / convertible security · Conversion / exercise price $10.09 · Expires 2022-08-22 | Direct | 252,023 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · Balance 252,023 F5: Each of these Stock Appreciation Rights ("SARs") became fully vested on August 21, 2014. |
| Stock Appreciation RightsSEC Table II · derivative / convertible security · Conversion / exercise price $12.27 · Expires 2022-08-22 | Direct | 2,973 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · Balance 2,973 |
| Stock Appreciation RightsSEC Table II · derivative / convertible security · Conversion / exercise price $11.62 · Expires 2022-08-22 | Direct | 216,334 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · Balance 216,334 |
| Stock Appreciation RightsSEC Table II · derivative / convertible security · Conversion / exercise price $10.09 · Expires 2022-08-22 | Direct | 262,231 |
Reported balance
Holding disclosure · report date 2017-01-23 · row 23
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 23 · Balance 262,231 F6: These SARs (the "TEU Additional SARs") were issued to Mr. Sugarman in connection with the closing of an offering of the Issuer's 8.00% Tangible Equity Units. Each Tangible Equity Unit is composed of a prepaid stock purchase contract (each, a "Purchase Contract") and a junior subordinated amortizing note issued by the Issuer. Each Purchase Contract settles based on minimum or maximum settlement rates of shares of common stock. The number of settlement shares underlying the TEU Additional SARs were calculated using the maximum settlement rate and, therefore, the number of shares underlying these TEU Additional SARs is subject to adjustment and forfeiture. F7: The TEU Additional SAR originally related to 300,219 shares of common stock. Prior to January 23, 2017, pursuant to the terms thereof, the TEU Additional SAR had accelerated in vesting with respect to 254,402 shares and 37,988 shares had been forfeited. Pursuant to the terms and conditions of the Separation Agreement, the TEU Additional SAR accelerated in vesting with respect to the final 7,829 shares on January 23, 2017. The TEU Additional SARs that have accelerated in vesting have the same terms and conditions as the original grant. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares disposed to satisfy Mr. Sugarman's tax liability incurred by the accelerated vesting of 251,005 shares previously granted to him as an award on April 26, 2016. This award was previously scheduled to vest in full on April 1, 2017, but was subject to certain restrictions on transfer until April 1, 2021. Pursuant to the terms and conditions of the Separation Agreement entered into by the Issuer and Mr. Sugarman on January 23, 2017 (the "Separation Agreement"), the shares not otherwise withheld to satisfy Mr. Sugarman's tax liability are now fully vested, and are no longer subject to the former transfer restrictions.
F2: The exercise price of the Warrant is subject to certain automatic adjustments in accordance with the terms thereof. Based on these automatic adjustments to the original $11.00 exercise price, it has been determined that the exercise price of the Warrant is $8.72 as of December 31, 2016.
F3: Warrants vested in accordance with the following schedule: 50,000 shares vested on October 11, 2011 and the remainder vested in seven equal quarterly installments, beginning January 1, 2012.
F4: Warrants expire five years from the date vested.
F5: Each of these Stock Appreciation Rights ("SARs") became fully vested on August 21, 2014.
F6: These SARs (the "TEU Additional SARs") were issued to Mr. Sugarman in connection with the closing of an offering of the Issuer's 8.00% Tangible Equity Units. Each Tangible Equity Unit is composed of a prepaid stock purchase contract (each, a "Purchase Contract") and a junior subordinated amortizing note issued by the Issuer. Each Purchase Contract settles based on minimum or maximum settlement rates of shares of common stock. The number of settlement shares underlying the TEU Additional SARs were calculated using the maximum settlement rate and, therefore, the number of shares underlying these TEU Additional SARs is subject to adjustment and forfeiture.
F7: The TEU Additional SAR originally related to 300,219 shares of common stock. Prior to January 23, 2017, pursuant to the terms thereof, the TEU Additional SAR had accelerated in vesting with respect to 254,402 shares and 37,988 shares had been forfeited. Pursuant to the terms and conditions of the Separation Agreement, the TEU Additional SAR accelerated in vesting with respect to the final 7,829 shares on January 23, 2017. The TEU Additional SARs that have accelerated in vesting have the same terms and conditions as the original grant.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 01, 2026 Filed Oct 2, 2026 19:27 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | Exercise / conversionRestricted Stock Units · Derivative | 1,147,031 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-031803 · rdgdoc.xml · derivative · entry 4 Sugarman Steven · CIK 0001504590 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 133,884 Underlying: Voting Common Stock · 1,147,031 shares Expires 2026-10-01 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 October 1, 2026, upon the expiration of the restricted period on 1,147,031 restricted stock units ("RSUs") granted to the reporting person pursuant to an award agreement effective October 1, 2025 (previously disclosed in a Form 4 filed on October 23, 2025), 1,147,031 RSUs settled and the Issuer delivered shares of Common Stock in settlement thereof. No consideration was paid by the Reporting Person in connection with the settlement. Read SEC document |
| October 01, 2026 Filed Oct 2, 2026 19:27 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | Tax withholdingVoting Common Stock | 583,609 | $1.00 | $583,609.00 |
DisclosureSEC source: 0001437749-26-031803 · rdgdoc.xml · nonDerivative · entry 2 Sugarman Steven · CIK 0001504590 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,901,531 F2 · kind: Represents 583,609 shares of Common Stock withheld by the Issuer upon settlement of the RSUs to satisfy the Reporting Person's applicable tax withholding obligations. The shares were withheld at a price of $1.00 per share, representing the closing price of the Issuer's Common Stock on September 25, 2026. The withheld shares were not delivered to the Reporting Person. F2 · price: Represents 583,609 shares of Common Stock withheld by the Issuer upon settlement of the RSUs to satisfy the Reporting Person's applicable tax withholding obligations. The shares were withheld at a price of $1.00 per share, representing the closing price of the Issuer's Common Stock on September 25, 2026. The withheld shares were not delivered to the Reporting Person. Read SEC document |
| October 01, 2026 Filed Oct 2, 2026 19:27 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | Exercise / conversionVoting Common Stock | 1,147,031 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-031803 · rdgdoc.xml · nonDerivative · entry 1 Sugarman Steven · CIK 0001504590 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,485,140 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 October 1, 2026, upon the expiration of the restricted period on 1,147,031 restricted stock units ("RSUs") granted to the reporting person pursuant to an award agreement effective October 1, 2025 (previously disclosed in a Form 4 filed on October 23, 2025), 1,147,031 RSUs settled and the Issuer delivered shares of Common Stock in settlement thereof. No consideration was paid by the Reporting Person in connection with the settlement. F1 · price: On October 1, 2026, upon the expiration of the restricted period on 1,147,031 restricted stock units ("RSUs") granted to the reporting person pursuant to an award agreement effective October 1, 2025 (previously disclosed in a Form 4 filed on October 23, 2025), 1,147,031 RSUs settled and the Issuer delivered shares of Common Stock in settlement thereof. No consideration was paid by the Reporting Person in connection with the settlement. Read SEC document |
| August 26, 2026 Filed Aug 27, 2026 10:03 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | GrantRestricted Stock Units · Derivative | 28,857 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-029048 · rdgdoc.xml · derivative · entry 3 Sugarman Steven · CIK 0001504590 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,280,915 Underlying: Voting Common Stock · 28,857 shares Expires 2027-08-26 F2 · kind: On August 26, 2026, pursuant to the Reporting Person's employment agreement with the Issuer, effective as of March 20, 2025 (the "Employment Agreement"), the Reporting Person was granted 28,857 Restricted Stock Units ("RSUs") as a quarterly equity award for the second quarter of 2026. Such RSUs will vest in twelve (12) equal monthly installments commencing on August 26, 2026 and ending on August 26, 2027. Pursuant to the terms of the Employment Agreement, the RSUs are subject to a one-year restricted period expiring on August 26, 2027 and will be settled on the date of expiration of the restricted period. Read SEC document |
| July 01, 2026 Filed Jul 2, 2026 23:34 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | Exercise / conversionRestricted Stock Units · Derivative | 552,927 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-022627 · rdgdoc.xml · derivative · entry 4 Sugarman Steven · CIK 0001504590 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,252,058 Underlying: Voting Common Stock · 552,927 shares Expires 2026-07-01 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 July 1, 2026, upon the expiration of the restricted period on 552,927 restricted stock units ("RSUs") granted to the reporting person pursuant to an award agreement effective July 1, 2025 (previously disclosed in a Form 4 filed on August 14, 2025), 552,927 RSUS settled and the Issuer delivered shares of Common Stock in settlement thereof. No consideration was paid by the Reporting Person in connection with the settlement. Read SEC document |
| July 01, 2026 Filed Jul 2, 2026 23:34 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | Tax withholdingVoting Common Stock | 303,861 | $1.20 | $364,633.20 |
DisclosureSEC source: 0001437749-26-022627 · rdgdoc.xml · nonDerivative · entry 2 Sugarman Steven · CIK 0001504590 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,338,109 F2 · kind: Represents 303,861 shares of Common Stock withheld by the Issuer upon settlement of the RSUs to satisfy the Reporting Person's applicable tax withholding obligations. The shares were withheld at a price of $1.20 per share, representing the closing price of the Issuer's Common Stock on July 1, 2026. The withheld shares were not delivered to the Reporting Person. F2 · price: Represents 303,861 shares of Common Stock withheld by the Issuer upon settlement of the RSUs to satisfy the Reporting Person's applicable tax withholding obligations. The shares were withheld at a price of $1.20 per share, representing the closing price of the Issuer's Common Stock on July 1, 2026. The withheld shares were not delivered to the Reporting Person. Read SEC document |
| July 01, 2026 Filed Jul 2, 2026 23:34 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | Exercise / conversionVoting Common Stock | 552,927 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-022627 · rdgdoc.xml · nonDerivative · entry 1 Sugarman Steven · CIK 0001504590 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,641,970 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 July 1, 2026, upon the expiration of the restricted period on 552,927 restricted stock units ("RSUs") granted to the reporting person pursuant to an award agreement effective July 1, 2025 (previously disclosed in a Form 4 filed on August 14, 2025), 552,927 RSUS settled and the Issuer delivered shares of Common Stock in settlement thereof. No consideration was paid by the Reporting Person in connection with the settlement. F1 · price: On July 1, 2026, upon the expiration of the restricted period on 552,927 restricted stock units ("RSUs") granted to the reporting person pursuant to an award agreement effective July 1, 2025 (previously disclosed in a Form 4 filed on August 14, 2025), 552,927 RSUS settled and the Issuer delivered shares of Common Stock in settlement thereof. No consideration was paid by the Reporting Person in connection with the settlement. Read SEC document |
| May 20, 2026 Filed Jun 18, 2026 18:39 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | GrantRestricted Stock Units · Derivative | 104,452 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-021114 · rdgdoc.xml · derivative · entry 2 Sugarman Steven · CIK 0001504590 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,804,985 Underlying: Voting Common Stock · Not disclosed shares Expires 2027-05-20 F2 · derivative.exercise_price: N/A F1 · kind: On May 20, 2026, pursuant to the Reporting Person's employment agreement with the Issuer, effective as of March 20, 2025 (the "Employment Agreement"), the Reporting Person was granted Restricted Stock Units ("RSUs") equal to: (i) 575 shares of Common Stock as a quarterly equity award for Q4 2025, and (ii) 104,452 shares of Common Stock as a quarterly equity award for Q1 2026 (collectively, the "May 2026 RSU Grants"). Each of the May 2026 RSU Grants will vest in twelve (12) equal monthly installments commencing on May 20, 2026 and ending on May 20, 2027. Pursuant to the terms of the Employment Agreement, the May 2026 RSU Grants are subject to a one-year restricted period expiring on May 20, 2027 and will be settled on the date of expiration of the restricted period. Read SEC document |
| May 20, 2026 Filed Jun 18, 2026 18:39 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | GrantRestricted Stock Units · Derivative | 575 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-021114 · rdgdoc.xml · derivative · entry 1 Sugarman Steven · CIK 0001504590 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,700,533 Underlying: Voting Common Stock · 575 shares Expires 2027-05-20 F2 · derivative.exercise_price: N/A F1 · kind: On May 20, 2026, pursuant to the Reporting Person's employment agreement with the Issuer, effective as of March 20, 2025 (the "Employment Agreement"), the Reporting Person was granted Restricted Stock Units ("RSUs") equal to: (i) 575 shares of Common Stock as a quarterly equity award for Q4 2025, and (ii) 104,452 shares of Common Stock as a quarterly equity award for Q1 2026 (collectively, the "May 2026 RSU Grants"). Each of the May 2026 RSU Grants will vest in twelve (12) equal monthly installments commencing on May 20, 2026 and ending on May 20, 2027. Pursuant to the terms of the Employment Agreement, the May 2026 RSU Grants are subject to a one-year restricted period expiring on May 20, 2027 and will be settled on the date of expiration of the restricted period. Read SEC document |
| March 25, 2026 Filed Mar 31, 2026 21:20 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | Exercise / conversionRestricted Stock Units · Derivative | 4,049,593 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-010737 · rdgdoc.xml · derivative · entry 3 Sugarman Steven · CIK 0001504590 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: Not disclosed Underlying: Voting Common Stock · 4,049,593 shares Expires 2026-03-25 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 25, 2026, upon the expiration of the restricted period on 4,049,593 restricted stock units ("RSUs") granted to the reporting person on March 20, 2025 (previously disclosed in a Form 4 filed on April 1, 2025), 2,089,043 shares of the issuer's common stock were delivered to the reporting person, with 1,960,550 shares withheld to cover the reporting person's tax obligations in connection with the vesting of the RSUs in accordance with the issuer's tax withholding policy and applicable tax withholding requirements. Read SEC document |
| March 25, 2026 Filed Mar 31, 2026 21:20 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | Exercise / conversionVoting Common Stock | 2,089,043 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-26-010737 · rdgdoc.xml · nonDerivative · entry 1 Sugarman Steven · CIK 0001504590 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,089,043 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 25, 2026, upon the expiration of the restricted period on 4,049,593 restricted stock units ("RSUs") granted to the reporting person on March 20, 2025 (previously disclosed in a Form 4 filed on April 1, 2025), 2,089,043 shares of the issuer's common stock were delivered to the reporting person, with 1,960,550 shares withheld to cover the reporting person's tax obligations in connection with the vesting of the RSUs in accordance with the issuer's tax withholding policy and applicable tax withholding requirements. F1 · price: On March 25, 2026, upon the expiration of the restricted period on 4,049,593 restricted stock units ("RSUs") granted to the reporting person on March 20, 2025 (previously disclosed in a Form 4 filed on April 1, 2025), 2,089,043 shares of the issuer's common stock were delivered to the reporting person, with 1,960,550 shares withheld to cover the reporting person's tax obligations in connection with the vesting of the RSUs in accordance with the issuer's tax withholding policy and applicable tax withholding requirements. Read SEC document |
| October 20, 2025 Filed Oct 23, 2025 10:02 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | GrantRestricted Stock Units · Derivative | 1,147,031 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-031558 · rdgdoc.xml · derivative · entry 3 Sugarman Steven · CIK 0001504590 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,749,551 Underlying: Voting Common Stock · 1,147,031 shares Expires 2026-10-01 F2 · derivative.exercise_price: 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. F2 · shares: 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. Read SEC document |
| October 16, 2025 Filed Oct 23, 2025 10:02 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | Exercise / conversionVoting Common Stock | 2,000,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-25-031558 · rdgdoc.xml · nonDerivative · 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: 9,019,978 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: Represents the conversion of 2,000,000 shares of Patriot National Bancorp, Inc.'s (the "Issuer") non-voting common stock into 2,000,000 shares of the Issuer's voting common stock pursuant to the Issuer's Amended and Restated Certificate of Incorporation. No consideration was paid in connection with the conversion. F1 · price: Represents the conversion of 2,000,000 shares of Patriot National Bancorp, Inc.'s (the "Issuer") non-voting common stock into 2,000,000 shares of the Issuer's voting common stock pursuant to the Issuer's Amended and Restated Certificate of Incorporation. No consideration was paid in connection with the conversion. 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. Read SEC document |
| October 16, 2025 Filed Oct 23, 2025 10:02 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | Exercise / conversionNon-Voting Common Stock | 2,000,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-25-031558 · rdgdoc.xml · nonDerivative · 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 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: Represents the conversion of 2,000,000 shares of Patriot National Bancorp, Inc.'s (the "Issuer") non-voting common stock into 2,000,000 shares of the Issuer's voting common stock pursuant to the Issuer's Amended and Restated Certificate of Incorporation. No consideration was paid in connection with the conversion. F1 · price: Represents the conversion of 2,000,000 shares of Patriot National Bancorp, Inc.'s (the "Issuer") non-voting common stock into 2,000,000 shares of the Issuer's voting common stock pursuant to the Issuer's Amended and Restated Certificate of Incorporation. No consideration was paid in connection with the conversion. 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. Read SEC document |
| August 13, 2025 Filed Aug 14, 2025 20:21 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | GrantCommon Stock | 552,927 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-25-040407 · wk-form4_1755202883.xml · nonDerivative · entry 1 Sugarman Steven · CIK 0001504590 · Director · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 552,927 F1 · kind: On August 13, 2025, the Reporting Person received an award agreement effective July 1, 2025 for Restricted Stock Units (RSUs) equal to 552,927 shares of Common Stock, par value $0.01 per share of Patriot National Bancorp, Inc. (the Issuer). The RSUs were granted pursuant to an Employment Agreement between the Reporting Person and the Issuer, effective as of March 20, 2025. The RSUs vest in 12 equal monthly installments commencing on July 1, 2025 and ending on July 1, 2026. Vested RSUs represent the right to be settled on July 1, 2026. F1 · price: On August 13, 2025, the Reporting Person received an award agreement effective July 1, 2025 for Restricted Stock Units (RSUs) equal to 552,927 shares of Common Stock, par value $0.01 per share of Patriot National Bancorp, Inc. (the Issuer). The RSUs were granted pursuant to an Employment Agreement between the Reporting Person and the Issuer, effective as of March 20, 2025. The RSUs vest in 12 equal monthly installments commencing on July 1, 2025 and ending on July 1, 2026. Vested RSUs represent the right to be settled on July 1, 2026. Read SEC document |
| July 03, 2025 Filed Jul 9, 2025 01:22 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | ConversionNon-Voting Common Stock · Derivative | 466,667 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| July 03, 2025 Filed Jul 9, 2025 01:22 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | ConversionSeries A Preferred Stock · Derivative | 5,833 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| July 03, 2025 Filed Jul 9, 2025 01:22 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | ConversionNon-Voting Common Stock · Derivative | 1,533,333 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| July 03, 2025 Filed Jul 9, 2025 01:22 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | ConversionSeries A Preferred Stock · Derivative | 19,167 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| July 03, 2025 Filed Aug 14, 2025 20:21 UTC Amendment | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | ConversionSeries A Preferred Stock · Derivative | 5,833 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| July 03, 2025 Filed Aug 14, 2025 20:21 UTC Amendment | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | ConversionSeries A Preferred Stock · Derivative | 19,167 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| July 03, 2025 Filed Aug 14, 2025 20:21 UTC Amendment | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | Exercise / conversionNon-Voting Common Stock | 466,667 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| July 03, 2025 Filed Aug 14, 2025 20:21 UTC Amendment | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | Exercise / conversionNon-Voting Common Stock | 1,533,333 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| March 20, 2025 Filed Apr 2, 2025 01:53 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | GrantRestricted Stock Units · Derivative | 4,049,593 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| March 20, 2025 Filed Apr 2, 2025 01:53 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | OtherSeries A Preferred Stock · Derivative | 5,833 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| March 20, 2025 Filed Apr 2, 2025 01:53 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | PurchaseSeries A Preferred Stock · Derivative | 19,167 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| March 20, 2025 Filed Apr 2, 2025 01:53 UTC | PATRIOT NATIONAL BANCORP INC PNBK · Entity 6625 | PurchaseCommon Stock | 7,019,978 | $0.75 | $5,264,983.50 |
DisclosureSEC 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. Read SEC document |
| January 23, 2017 Filed Jan 26, 2017 01:26 UTC | BANC OF CALIFORNIA, INC. BANC · Entity 4259 | Tax withholdingCommon Stock | 121,935 | $16.15 | $1,969,250.25 |
DisclosureSEC source: 0001415889-17-000134 · form4-01252017_050158.xml · nonDerivative · entry 1 Sugarman Steven · CIK 0001504590 · Director · FORMER CEO AND BOARD CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,567 F1 · kind: Shares disposed to satisfy Mr. Sugarman's tax liability incurred by the accelerated vesting of 251,005 shares previously granted to him as an award on April 26, 2016. This award was previously scheduled to vest in full on April 1, 2017, but was subject to certain restrictions on transfer until April 1, 2021. Pursuant to the terms and conditions of the Separation Agreement entered into by the Issuer and Mr. Sugarman on January 23, 2017 (the "Separation Agreement"), the shares not otherwise withheld to satisfy Mr. Sugarman's tax liability are now fully vested, and are no longer subject to the former transfer restrictions. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.