Company: PNBK
Filing Date: 2025-03-21
Form Type: 8-K
Source: 0001171843-25-001608
Chunk: 2

Company: PATRIOT NATIONAL BANCORP INC
Filing Date: 2025-03-21
Form: 8-K
Item: Item 9.01
Chunk 2
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Item 9.01 Financial Statements and Exhibits.

(d) Exhibits.

  10.1      Form of Co-Lead Investors Agreement*                                         
  10.2      Form of Purchasers Agreement*                                                
  10.3      Form of Registration Rights Agreement                                        
  10.4      2025 Omnibus Equity Incentive Plan                                           
  10.5      Employment Agreement between the Company and Steven Sugarman                 
  99.1      Press Release                                                                
   104      Cover Page Interactive Data File (embedded within the Inline XBRL document)  

___________________________

* Other than the form of the Certificate of Amendment and the form of the
Registration Rights Agreement, schedules and exhibits have been omitted pursuant to Item 601(a)(5) of Regulation
S-K. The Company agrees to furnish supplementally a copy of any omitted schedule or exhibit to the SEC upon request.

Forward-Looking Statements

This Current Report on Form 8-K includes “forward-looking
statements” within the meaning of the Private Securities Litigation Reform Act of 1995 regarding the Company’s plans, objectives,
goals, strategies, business plans, future events or performance. Words such as “anticipates," “believes,” “estimates,”
“expects,” “forecasts,” “intends,” “plans,” “projects,” “targets,”
“designed,” “could,” “may,” “should,” “will” or other similar words and expressions
are intended to identify these forward-looking statements.

Because forward-looking statements relate to future
results and occurrences, they are subject to inherent risks, uncertainties, changes in circumstances and other factors that are difficult
to predict. Forward-looking statements are neither historical facts nor assurances of future performance. Instead, they are based only
on the Company’s current beliefs, expectations and assumptions regarding its business, plans and strategies, projections, anticipated
events and trends, the economy and other future conditions. Many possible events or factors could affect the Company’s future financial
results and performance and could cause its actual results, performance or achievements to differ materially from any anticipated results
expressed or implied by such forward-looking statements. Such risks and uncertainties include, among others: (i) delays in closing the
Private Placement, (ii) the dilution to be caused by the Company’s issuance of additional shares of its capital stock in connection
with the Private Placement, (iii) general competitive, economic, political and market conditions, or (iv) other factors that may