Filing Details

Accession Number:
0001493152-19-009989
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-07-01 15:07:29
Reporting Period:
2019-06-28
Accepted Time:
2019-07-01 15:07:29
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
891417 Pen Inc. PENC Coating, Engraving & Allied Services (3470) 760273345
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1022732 J Ronald Berman 701 Brickell Avenue,
Suite 1550
Miami FL 33131
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2018-06-28 67,631 $0.40 317,466 No 4 P Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See Footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Warrant Acquisiton 2018-06-28 67,631 $0.03 67,631 $1.50
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
317,466 2018-06-28 No 4 P Indirect
Footnotes
  1. Shares acquired indirectly and derivative securities acquired indirectly were acquired by 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 entity 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.
  2. Warrant will expire on the earlier of 6/28/2023 or the date that the Class A common stock has been trading at or above 120% of the exercise price for a period of 90 days.