SEC Form 4 · accession 0001493152-18-017198
PEN INC. · PENC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald J Berman
Director
Period of report
Dec 5, 2018
Accepted (ET)
Dec 7, 2018 · 3:52 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 StockF1 | Dec 5, 2018 | J | 5,000 | $0.40 | A | 394,411 | I | Note |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1267,292 shares are held directly and 127,118 shares are held indirectly through PEN Comeback, LLC. Reporting person shares with Tom J. Berman the voting and dispositive power with respect to securities held by the LLC but reporting person disclaims beneficial ownership of the securities in which he does not have a pecuniary interest.
Remarks
Shares acquired were awarded as compensation for service as a director of PEN Inc.