SEC Form 4 · accession 0000899243-17-015046
PEN INC. · PENC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carl Zeiss Inc.
10% Owner
Period of report
May 23, 2017
Accepted (ET)
Jun 1, 2017 · 9:10 pm EDT
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 StockF1 | May 23, 2017 | C | 262,631 | — | A | 263,462 | D | |
| Class A Common Stock | May 23, 2017 | S | 263,462 | $0.38 | D | 0 | 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 stockF1 | — | May 23, 2017 | C | 262,631 | D | — | — | Class A Common Stock | 262,631 | 262,631 | D |
Explanation of responses
- F1Each 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.