Initial Statement of Beneficial Ownership (3)
April 27 2021 - 4:56PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
SMC Holdings I, LP |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/31/2021
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3. Issuer Name and Ticker or Trading Symbol
PATRIOT NATIONAL BANCORP INC [PNBK]
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(Last)
(First)
(Middle)
C/O SPRING MOUNTAIN CAPITAL, LP, 650 MADISON AVENUE, 20TH FLOOR |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner _____ Officer (give title below) ___X___ Other (specify below) / (1) and (2) |
(Street)
NEW YORK, NY 10022
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 427691 (1) | D (1) | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | SMC Holdings I, LP, a Delaware limited partnership ("SMC Holdings"), directly holds 427,691 shares of Common Stock of Patriot National Bancorp, Inc. (the "Issuer"). SMC Holdings I G.P., LLC, a Delaware limited liability company ("SMC GP"), is the general partner of SMC Holdings. John L. Steffens ("Mr. Steffens") and Gregory P. Ho ("Mr. Ho") each serves as a Managing Member of SMC GP. Each of SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the shares of Common Stock held by SMC Holdings. |
Remarks: (2) SMC Holdings holds voting and dispositive power over the 427,691 shares of Common Stock of the Issuer. Each of Mr. Steffens, Mr. Ho, and SMC GPdisclaims beneficial ownership of these securities and this report shall not be deemed an admission that they are the beneficial owners of such securities forpurposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SMC Holdings I, LP C/O SPRING MOUNTAIN CAPITAL, LP 650 MADISON AVENUE, 20TH FLOOR NEW YORK, NY 10022 |
| X |
| (1) and (2) |
SMC Holdings I G.P., LLC C/O SPRING MOUNTAIN CAPITAL, LP 650 MADISON AVENUE, 20TH FLOOR NEW YORK, NY 10022 |
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| (1) and (2) |
Steffens John C/O SPRING MOUNTAIN CAPITAL, LP 650 MADISON AVENUE, 20TH FLOOR NEW YORK, NY 10022 |
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| (1) and (2) |
Ho Gregory P. C/O SPRING MOUNTAIN CAPITAL, LP 650 MADISON AVENUE, 20TH FLOOR NEW YORK, NY 10022 |
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| (1) and (2) |
Signatures
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SMC Holdings I, LP By: SMC Holdings I G.P., LLC, its general partner By: Gregory P. Ho Title: Managing Member /s/ Gregory P. Ho | | 4/21/2021 |
**Signature of Reporting Person | Date |
SMC Holdings I G.P., LLC By: Gregory P. Ho Title: Managing Member /s/ Gregory P. Ho | | 4/21/2021 |
**Signature of Reporting Person | Date |
/s/ John L. Steffens | | 4/21/2021 |
**Signature of Reporting Person | Date |
/s/ Gregory P. Ho | | 4/21/2021 |
**Signature of Reporting Person | Date |
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