SEC Form 4 · accession 0001493152-17-004609
PEN INC. · PENC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeanne M Rickert
Officer — Chief Legal Officer · Director
Period of report
Apr 28, 2017
Accepted (ET)
May 1, 2017 · 4:33 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 B Common StockF1 | Apr 28, 2017 | J | 6,154 | $1.30 | A | 475,687 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F111,431 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 were awarded as compensation for service as a director of PEN Inc.