Home > Insider Trading > Filing (0001493152-19-016377)

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
1616631	M Jeanne Rickert	701 Brickell Ave., Suite 1550 Miami FL 33131	Chief Legal Officer	Yes	Yes	No	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	566,937	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, 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.