<SEC-DOCUMENT>0001104659-21-055669.txt : 20210427
<SEC-HEADER>0001104659-21-055669.hdr.sgml : 20210427
<ACCEPTANCE-DATETIME>20210427165605
ACCESSION NUMBER:		0001104659-21-055669
CONFORMED SUBMISSION TYPE:	3
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20210331
FILED AS OF DATE:		20210427
DATE AS OF CHANGE:		20210427

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			SMC Holdings I, LP
		CENTRAL INDEX KEY:			0001545859
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		3
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-29599
		FILM NUMBER:		21859745

	BUSINESS ADDRESS:	
		STREET 1:		65 EAST 55TH STREET, 33RD FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10022
		BUSINESS PHONE:		212-292-8300

	MAIL ADDRESS:	
		STREET 1:		65 EAST 55TH STREET, 33RD FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10022

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			Steffens John
		CENTRAL INDEX KEY:			0001373619

	FILING VALUES:
		FORM TYPE:		3
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-29599
		FILM NUMBER:		21859743

	MAIL ADDRESS:	
		STREET 1:		C/O COLONY NORTHSTAR, INC.
		STREET 2:		515 S. FLOWER ST., 44TH FLOOR
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90071

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			SMC Holdings I G.P., LLC
		CENTRAL INDEX KEY:			0001859288
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		3
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-29599
		FILM NUMBER:		21859744

	BUSINESS ADDRESS:	
		STREET 1:		C/O SPRING MOUNTAIN CAPITAL, LP
		STREET 2:		650 MADISON AVENUE, 20TH FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10022
		BUSINESS PHONE:		(212) 292-8320

	MAIL ADDRESS:	
		STREET 1:		C/O SPRING MOUNTAIN CAPITAL, LP
		STREET 2:		650 MADISON AVENUE, 20TH FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10022

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			Ho Gregory P.
		CENTRAL INDEX KEY:			0001549584

	FILING VALUES:
		FORM TYPE:		3
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-29599
		FILM NUMBER:		21859742

	MAIL ADDRESS:	
		STREET 1:		C/O SPRING MOUNTAIN CAPITAL, LP
		STREET 2:		650 MADISON AVENUE, 20TH FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10022

ISSUER:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			PATRIOT NATIONAL BANCORP INC
		CENTRAL INDEX KEY:			0001098146
		STANDARD INDUSTRIAL CLASSIFICATION:	NATIONAL COMMERCIAL BANKS [6021]
		IRS NUMBER:				061559137
		STATE OF INCORPORATION:			CT
		FISCAL YEAR END:			1231

	BUSINESS ADDRESS:	
		STREET 1:		900 BEDFORD ST
		CITY:			STAMFORD
		STATE:			CT
		ZIP:			06901
		BUSINESS PHONE:		2033247500
</SEC-HEADER>
<DOCUMENT>
<TYPE>3
<SEQUENCE>1
<FILENAME>tm2113711-2_3seq1.xml
<DESCRIPTION>OWNERSHIP DOCUMENT
<TEXT>
<XML>
<?xml version="1.0"?>
<ownershipDocument>

    <schemaVersion>X0206</schemaVersion>

    <documentType>3</documentType>

    <periodOfReport>2021-03-31</periodOfReport>

    <noSecuritiesOwned>0</noSecuritiesOwned>

    <issuer>
        <issuerCik>0001098146</issuerCik>
        <issuerName>PATRIOT NATIONAL BANCORP INC</issuerName>
        <issuerTradingSymbol>PNBK</issuerTradingSymbol>
    </issuer>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001545859</rptOwnerCik>
            <rptOwnerName>SMC Holdings I, LP</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>C/O SPRING MOUNTAIN CAPITAL, LP</rptOwnerStreet1>
            <rptOwnerStreet2>650 MADISON AVENUE, 20TH FLOOR</rptOwnerStreet2>
            <rptOwnerCity>NEW YORK</rptOwnerCity>
            <rptOwnerState>NY</rptOwnerState>
            <rptOwnerZipCode>10022</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>1</isOther>
            <officerTitle></officerTitle>
            <otherText>(1) and (2)</otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001859288</rptOwnerCik>
            <rptOwnerName>SMC Holdings I G.P., LLC</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>C/O SPRING MOUNTAIN CAPITAL, LP</rptOwnerStreet1>
            <rptOwnerStreet2>650 MADISON AVENUE, 20TH FLOOR</rptOwnerStreet2>
            <rptOwnerCity>NEW YORK</rptOwnerCity>
            <rptOwnerState>NY</rptOwnerState>
            <rptOwnerZipCode>10022</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>0</isTenPercentOwner>
            <isOther>1</isOther>
            <officerTitle></officerTitle>
            <otherText>(1) and (2)</otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001373619</rptOwnerCik>
            <rptOwnerName>Steffens John</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>C/O SPRING MOUNTAIN CAPITAL, LP</rptOwnerStreet1>
            <rptOwnerStreet2>650 MADISON AVENUE, 20TH FLOOR</rptOwnerStreet2>
            <rptOwnerCity>NEW YORK</rptOwnerCity>
            <rptOwnerState>NY</rptOwnerState>
            <rptOwnerZipCode>10022</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>0</isTenPercentOwner>
            <isOther>1</isOther>
            <officerTitle></officerTitle>
            <otherText>(1) and (2)</otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001549584</rptOwnerCik>
            <rptOwnerName>Ho Gregory P.</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>C/O SPRING MOUNTAIN CAPITAL, LP</rptOwnerStreet1>
            <rptOwnerStreet2>650 MADISON AVENUE, 20TH FLOOR</rptOwnerStreet2>
            <rptOwnerCity>NEW YORK</rptOwnerCity>
            <rptOwnerState>NY</rptOwnerState>
            <rptOwnerZipCode>10022</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>0</isTenPercentOwner>
            <isOther>1</isOther>
            <officerTitle></officerTitle>
            <otherText>(1) and (2)</otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <nonDerivativeTable>
        <nonDerivativeHolding>
            <securityTitle>
                <value>Common Stock</value>
            </securityTitle>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>427691</value>
                    <footnoteId id="F1"/>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>D</value>
                    <footnoteId id="F1"/>
                </directOrIndirectOwnership>
            </ownershipNature>
        </nonDerivativeHolding>
    </nonDerivativeTable>

    <footnotes>
        <footnote id="F1">SMC Holdings I, LP, a Delaware limited partnership (&quot;SMC Holdings&quot;), directly holds 427,691 shares of Common Stock of Patriot National Bancorp, Inc. (the &quot;Issuer&quot;). SMC Holdings I G.P., LLC, a Delaware limited liability company (&quot;SMC GP&quot;), is the general partner of SMC Holdings. John L. Steffens (&quot;Mr. Steffens&quot;) and Gregory P. Ho (&quot;Mr. Ho&quot;) 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.</footnote>
    </footnotes>

    <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.</remarks>

    <ownerSignature>
        <signatureName>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</signatureName>
        <signatureDate>2021-04-21</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>SMC Holdings I G.P., LLC By: Gregory P. Ho Title: Managing Member /s/ Gregory P. Ho</signatureName>
        <signatureDate>2021-04-21</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/ John L. Steffens</signatureName>
        <signatureDate>2021-04-21</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/ Gregory P. Ho</signatureName>
        <signatureDate>2021-04-21</signatureDate>
    </ownerSignature>
</ownershipDocument>
</XML>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
