-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, N1AZm1PqNFlLV63kO7aVq4at1N+Ywl0r+BCUs6cyU7QaDfA6rffIVsl0wBrqlAEV 5iJQLbgBxftKk43lvH0ZKw== 0000930413-06-000183.txt : 20060109 0000930413-06-000183.hdr.sgml : 20060109 20060109172151 ACCESSION NUMBER: 0000930413-06-000183 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060109 DATE AS OF CHANGE: 20060109 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-58533 FILM NUMBER: 06520046 BUSINESS ADDRESS: STREET 1: 900 BEDFORD ST CITY: STAMFORD STATE: CT ZIP: 06901 BUSINESS PHONE: 2033247500 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Lewis Barry CENTRAL INDEX KEY: 0001306354 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: BUSINESS PHONE: 845-639-9704 MAIL ADDRESS: STREET 1: 177 S. MOUNTAIN ROAD CITY: NEW CITY STATE: NY ZIP: 10956 SC 13G/A 1 c40459_sc-13ga.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2)* Patriot National Bancorp, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $2.00 Par Value - -------------------------------------------------------------------------------- (Title of Class of Securities) 70336F104 -------------- (CUSIP Number) December 31, 2005 ----------------------------------------------------- Date of Event Which Requires Filing of this Statement Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |_| Rule 13d-1(b) |X| Rule 13d-1(c) |_| Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 6 CUSIP No. 70336F104 13G - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Barry Lewis - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 251,692 shares Number of --------------------------------------------------------- Shares Beneficially 6 SHARED VOTING POWER Owned By 0 shares Each --------------------------------------------------------- Reporting Person 7 SOLE DISPOSITIVE POWER With 251,692 shares --------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 shares - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 251,692 shares - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.8% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- Page 2 of 6 CUSIP No. 70336F104 13G - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Barry Lewis Revocable Living Trust - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 80,211 shares Number of --------------------------------------------------------- Shares Beneficially 6 SHARED VOTING POWER Owned By 0 shares Each Reporting --------------------------------------------------------- Person With 7 SOLE DISPOSITIVE POWER 80,211 shares --------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 shares - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 80,211 shares - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.5% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) OO - -------------------------------------------------------------------------------- Page 3 of 6 ITEM 1. (a) Name of Issuer: Patriot National Bancorp, Inc. (b) Address of Issuer's Principal Executive Offices: 900 Bedford Street Stamford, Connecticut 06901 ITEM 2. 1. (a) Name of Person Filing: Barry Lewis (b) Address of Principal Business Office, or, if none, Residence: 177 S. Mountain Road New City, New York 10956 (c) Citizenship: United States (d) Title of Class of Securities: Common Stock, $2.00 par value per share (e) CUSIP Number: 70336F104 2. (a) Name of Person Filing: Barry Lewis Revocable Living Trust (b) Address of Principal Business Office, or, if none, Residence: 177 S. Mountain Road New City, New York 10956 (c) Place of Organization: New York (d) Title of Class of Securities: Common Stock, $2.00 par value per share (e) CUSIP Number: 70336F104 ITEM 3. If this statement is filed pursuant to ss.240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) |_| Broker or dealer registered under section 15 of the Act (15 U.S.C.78o). (b) |_| Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) |_| Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) |_| Investment company as registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) |_| An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E). (f) |_| An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F). (g) |_| A parent holding company or control person in accordance with ss.240.13d-1(b)(1)(ii)(G). (h) |_| A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). (i) |_| A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3). (j) |_| Group, in accordance with ss.240.13d-1(b)(1)(ii)(J). Page 4 of 6 ITEM 4. OWNERSHIP. 1. Barry Lewis: (a) Amount Beneficially Owned: 251,692(1,2,3) shares. (b) Percent of Class: 7.8% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 251,692(1,2,3) shares. (ii) shared power to vote or to direct the vote: 0 shares. (iii) sole power to dispose or to direct the disposition of: 251,692(1,2,3) shares. (iv) shared power to dispose or to direct the disposition of: 0 shares. 2. Barry Lewis Revocable Living Trust: (a) Amount Beneficially Owned: 80,211(2) shares. (b) Percent of Class: 2.5% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 80,211 (2) shares. (ii) shared power to vote or to direct the vote: 0 shares. (iii) sole power to dispose or to direct the disposition of: 80,211 (2) shares. (iv) shared power to dispose or to direct the disposition of: 0 shares. Exhibit A, a Joint Filing Agreement, was previously filed with a Schedule 13G, dated October 13, 2004. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. |_| INSTRUCTION: Dissolution of a group requires a response to this item. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not Applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not Applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not Applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not Applicable. ITEM 10. CERTIFICATION. By signing below each party certifies that, to the best of his/its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. - ---------- (1) Includes 171,481 shares of Common Stock held in Barry Lewis IRA Rollover Accounts. (2) Includes 80,211 shares of Common Stock held in the Barry Lewis Revocable Living Trust. (3) The reporting person disclaims beneficial ownership of these securities except to the extent of his equity interest therein. Page 5 of 6 SIGNATURE After reasonable inquiry and to the best of their knowledge and belief, each of the undersigned hereby certifies that the information set forth in this statement is true, complete and correct. Dated: January 5, 2006 /s/ Barry Lewis ----------------------------------------- Barry Lewis Barry Lewis Revocable Living Trust By: /s/ Barry Lewis -------------------------------------- Barry Lewis, Trustee ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) Page 6 of 6 -----END PRIVACY-ENHANCED MESSAGE-----