SEC Form 4 · accession 0001493152-15-005958
PEN INC. · PENC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott E. Rickert
Officer — CEO, President, Chairman · Director · 10% Owner
Period of report
Nov 30, 2015
Accepted (ET)
Dec 1, 2015 · 2:02 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 B Common StockF1 | Nov 30, 2015 | J | 47,170 | $0.0212 | A | 83,827,471 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1261,436 shares are held directly, the balance are held indirectly through Rickert Family, Limited Partnership
Remarks
250,698,105 shares of Class B common stock are held by Rickert Family, Limited Partnership an entity for which Mr. Rickert is the general partner and has sole voting and dispositive control. Mr. Rickert disclaims beneficial ownership of 166,964,938 shares for which he does not have pecuniary interest and this filing should not be construed as an admission that the reporting person is the beneficial owner of these securities. Shares acquired on November 30, 2015 were awarded as compensation for service as a director of PEN Inc.