SEC Form 4 · accession 0000899243-16-013826
PEN INC. · PENC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carl Zeiss Inc.
10% Owner
Period of report
Feb 18, 2016
Accepted (ET)
Feb 19, 2016 · 2:40 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000891417
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF2 | Feb 18, 2016 | J | 312 | $0.00 | A | 831 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class Z common stockF2,F3 | — | holding | — | — | — | — | — | Class A Common Stock | 262,631 | 262,631 | D |
Explanation of responses
- F1Shares acquired on February 18, 2016 were awarded to Carl Zeiss Inc. as compensation for its President and CEO's service as a director of the issuer.
- F2Adjusted to reflect the reverse stock split of the outstanding shares of each class of issuer common stock at the ratio of 180-for-1.
- F3Each share of Class Z common stock is convertible into one share of the issuer's Class A common stock at any time at the option of the holder on a one-for-one basis.