Home > Insider Trading > Filing (0001493152-19-016379)

Filing Details

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
1616892	E. Scott Rickert	701 Brickell Ave., Suite 1550 Miami FL 33131	Chairman	Yes	Yes	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	2019-10-31	5,128	$0.65	575,227	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	2019-10-31	4	$0.03	4	$1.50

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
4	2019-10-31	2023-10-31	No	5	P	Indirect

Footnotes

Of the total holdings, 49,081 shares are held directly by the reporting person, and the balance are held indirectly through Rickert Family, Limited Partnership. Mr. Rickert is the general partner of Rickert Family, Limited Partnership and has sole voting and dispositive control over its 1,579,883 shares and its 13 Warrants. Mr. Rickert disclaims beneficial ownership of two-thirds of the shares and two thirds of the warrants 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.