Welcome to our dedicated page for Patriot Natl SEC filings (Ticker: PNBK), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Patriot National Bancorp, Inc. (NASDAQ: PNBK) SEC filings page brings together the company’s regulatory disclosures as a bank holding company and parent of Patriot Bank, N.A. Based in Stamford, Connecticut and founded in 1994, Patriot National Bancorp files reports and current updates that describe its financial condition, capital structure, governance, and material corporate events.
Through this page, readers can access Patriot National Bancorp’s periodic reports and current reports on Form 8-K, along with registration statements and prospectus supplements related to its securities offerings. These filings detail items such as loan and deposit balances, net interest income, non-interest income and expenses, provisions for credit losses, and capital levels, as well as the impact of accounting standards like the current expected credit loss methodology.
For capital and funding analysis, the filings include information on senior note offerings, amendments to those notes, conversions of senior note principal and interest into common stock, private placements of equity securities, and registered direct offerings of common stock and warrants. Investors can review the terms of these transactions, the intended use of proceeds, and the resulting changes to Patriot National Bancorp’s debt and equity structure.
Corporate governance and management disclosures in Forms 8-K and proxy-related filings cover the appointment and resignation of directors and executive officers, equity incentive plans, director compensation, and changes in the independent registered public accounting firm. These documents also include voting results from shareholder meetings and approvals of items such as amended and restated certificates of incorporation and potential share issuances under Nasdaq rules.
On Stock Titan, each Patriot National Bancorp filing is accompanied by AI-powered summaries that highlight key points, explain technical language, and point out important changes in risk factors, capital, or governance. Users can quickly scan annual reports, quarterly updates, and Form 4 insider transaction reports, while still having access to the full text as filed with the U.S. Securities and Exchange Commission. Real-time updates from EDGAR ensure that new PNBK filings, including 10-Ks, 10-Qs, 8-Ks, and registration statements, are added as they become available.
Patriot National Bancorp, Inc. reported that its Board of Directors appointed three new directors on November 19, 2025: Ida Liu, Jonathan Roth and Jeffrey Seabold. Liu brings extensive global private banking experience from senior roles at Citi Private Bank, Roth adds nearly 40 years in real estate investment management and law, and Seabold contributes a background in commercial banking, community development finance, and bank entrepreneurship.
The company also posted an updated presentation of certain Q3 2025 financial information for Patriot Bank, National Association, on its investor relations website and furnished it as Exhibit 99.1. This information is furnished under Regulation FD and is not deemed filed for liability purposes under the Exchange Act.
Patriot National Bancorp, Inc. (PNBK) filed a current report to announce that it has posted a presentation with certain Q3 2025 financial information for Patriot Bank, National Association, its wholly owned banking subsidiary, on its Investor Relations website. The same investor presentation is also furnished as Exhibit 99.1 to this report.
The company notes that this information is being furnished, not filed, under securities laws, which means it is not subject to certain liability provisions and is not automatically incorporated into other securities filings unless specifically referenced.
Patriot National Bancorp (PNBK) reported insider activity by President and CEO Steven Sugarman. On 10/16/2025, 2,000,000 shares of non‑voting common stock were converted into 2,000,000 shares of voting common stock pursuant to the company’s Amended and Restated Certificate of Incorporation; no consideration was paid. The shares are held indirectly by the Steven and Ainslie Sugarman Living Trust. Following the conversion, 9,019,978 voting common shares were beneficially owned indirectly.
Separately, on 10/20/2025, 1,147,031 restricted stock units were acquired, representing the right to receive the same number of voting common shares, with a $0 price and a period from 10/01/2025 to 10/01/2026. After these transactions, 5,749,551 derivative securities were beneficially owned directly.
LMI Partners, LLC reports beneficial ownership of 285,915 shares of Patriot National Bancorp Inc. common stock, representing 0.25% of the outstanding class based on 114,991,017 shares reported by the issuer. The filer states it holds sole voting and dispositive power over all reported shares and that the filing is an amendment filed because the holder's percentage ownership declined below 5% solely due to a change in the issuer's total outstanding shares. The statement also certifies the shares were not acquired to influence control of the company.
Patriot National Bancorp, Inc. issued $12,000,000 of 8.50% Fixed Rate Senior Notes due 2026. Amendments tied to a March 20, 2025 private placement allowed the company to permit noteholder conversions to common stock and to repay outstanding principal early without penalty. Certain noteholders converted portions of principal and unpaid interest into common stock, leaving an aggregate unpaid balance of $3,081,380.97 as of September 5, 2025. On September 5, 2025 the Company repaid that remaining amount in cash, and states that all commitments and obligations under the Senior Notes have been satisfied in full. The filing notes that descriptions of the Senior Notes and Amendments are qualified by the referenced exhibits filed previously.
Patriot National Bancorp, Inc. entered into registered direct purchase agreements dated August 29, 2025 to sell an aggregate of 31,985,103 shares of common stock and related warrants to accredited investors. The transaction consists of 19,196,000 Voting Common Stock shares delivered at closing and 12,789,103 Non-Voting Common Stock shares issuable upon exercise of three-year warrants no earlier than six months after closing. Shares are priced at $1.25 each and warrants at $0.125 per warrant share; warrants are exercisable at $1.56 per Warrant Share, subject to adjustment up to $1.685 under stated conditions. Gross proceeds are expected to be approximately $25.6 million with estimated offering expenses of $250,000. The Company intends to use proceeds for general corporate purposes. The offering is expected to close on or about September 3, 2025, subject to customary closing conditions.
Patriot National Bancorp, Inc. reported a change in its independent registered public accounting firm and board compensation decisions. The Audit Committee approved engagement of Baker Tilly US, LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2025, effective August 22, 2025, and ended RSM US LLP’s engagement on that date. RSM had issued unqualified reports for the years ended December 31, 2024 and 2023 and the company discloses no disagreements or reportable events with RSM through August 22, 2025. The company also approved director compensation effective July 1, 2025: Company independent directors will receive $50,000 cash plus $75,000 in restricted stock units; Bank independent directors will receive $20,000 cash plus $25,000 in restricted stock units.
Patriot National Bancorp (PNBK) reported an insider award: on August 13, 2025 the company's EVP & Chief Credit Officer, William Paul Simmons, was granted Restricted Stock Units equal to 1,000,000 shares of common stock. The award agreement is effective April 30, 2025 and the RSUs vest in three equal installments on each of the first three anniversaries of the award date. Following the grant the filing reports 1,000,000 shares beneficially owned by the reporting person related to this award. The Form 4 was signed on August 14, 2025.
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