SEC Form 4/A · accession 0001493152-18-014629
PEN INC. · PENC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Ronald J Berman
Director
Period of report
Oct 16, 2018
Accepted (ET)
Oct 18, 2018 · 2:36 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 Stock | Oct 16, 2018 | J | 4,000 | $0.50 | A | 262,292 | D | |
| Class A Common StockF1 | Oct 16, 2018 | P | 127,119 | $0.50 | A | 389,411 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares acquired indirectly were purchased indirectly through the purchase of an interest in an investing entity that acquired the issuer's securities in a private placement. Reporting person shares voting control over the securities held by the investing entity but reporting person disclaims beneficial ownership of the securities held by the partnership 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.
Remarks
Price in Table I, column 4 was incorrect in original filing.