SEC Form 3 · accession 0001493152-17-001685
PEN INC. · PENC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jacqueline M Soptick
Officer — Chief Accounting Officer
Period of report
Feb 10, 2017
Accepted (ET)
Feb 16, 2017 · 1:29 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 Stock | holding | — | — | — | 1,957 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to purchase Class A Common StockF1 | $43.20 | holding | — | — | — | — | Mar 15, 2018 | Option to Purchase | 108 | — | D |
| Option to purchase Class A Common StockF1 | $46.80 | holding | — | — | — | — | Aug 18, 2019 | Option to Purchase | 26 | — | D |
| Option to purchase Class A Common StockF1 | $54.00 | holding | — | — | — | — | Nov 16, 2019 | Option to Purchase | 17 | — | D |
| Option to purchase Class A Common StockF1 | $57.60 | holding | — | — | — | — | Feb 26, 2020 | Option to Purchase | 28 | — | D |
| Option to purchase Class A Common StockF1 | $77.40 | holding | — | — | — | — | Nov 5, 2020 | Option to Purchase | 278 | — | D |
| Option to purchase Class A Common StockF1 | $102.60 | holding | — | — | — | — | Feb 14, 2021 | Option to Purchase | 22 | — | D |
Explanation of responses
- F1Option(s) presently exercisable