4//SEC Filing
Rickert Jeanne M 4
Accession 0001493152-19-016377
CIK 0000891417other
Filed
Nov 3, 7:00 PM ET
Accepted
Nov 4, 2:28 PM ET
Size
8.0 KB
Accession
0001493152-19-016377
Insider Transaction Report
Form 4
PEN INC.PENC
Rickert Jeanne M
DirectorChief Legal Officer
Transactions
- Purchase
Warrant
2019-10-31$0.03/sh+4$0→ 4 total(indirect: See Footnote)Exercise: $1.50From: 2019-10-31Exp: 2023-10-31→ Class A common stock (4 underlying) - Purchase
Class A Common Stock
2019-10-31$0.65/sh+5,128$3,333→ 566,937 total(indirect: See Footnote)
Footnotes (1)
- [F1]Of the total holdings, 40,831 shares of Class A common stock are held directly by the reporting person, and the balance are held indirectly through Rickert Family, Limited Partnership. Amount does not include shares or warrants held by the Rickert Family, Limited Partnership, except to the extent of the 33.33% limited partnership interest owned by the reporting person for which she 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.
Documents
Issuer
PEN INC.
CIK 0000891417
Entity typeother
Related Parties
1- filerCIK 0001616631
Filing Metadata
- Form type
- 4
- Filed
- Nov 3, 7:00 PM ET
- Accepted
- Nov 4, 2:28 PM ET
- Size
- 8.0 KB