SEC Form 4 · accession 0001493152-16-007527
PEN INC. · PENC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class B Common StockF1 | Feb 17, 2016 | J | 312 | $3.20 | A | 466,023 | D |
Table II — derivative securities
Explanation of responses
- F11,767 shares are held directly, the balance are held indirectly through Rickert Family, Limited Partnership
Remarks
Amount does not include 928,512 shares of the Issuer's Class B common stock held by the Rickert Family, Limited Partnership, an entity in which the reporting person owns 33.33% limited partnership interest and has none of the voting control. The reporting person disclaims beneficial ownership of the Issuer's securities owned by the Rickert Family, Limited Partnership, except to the extent of her 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 February 17, 2016 were awarded as compensation for service as a director of PEN Inc. Share total in Column 5 of Table 1 reflects reverse split that was effective January 26, 2016.