0000899243-16-013826.txt : 20160219 0000899243-16-013826.hdr.sgml : 20160219 20160219144047 ACCESSION NUMBER: 0000899243-16-013826 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160218 FILED AS OF DATE: 20160219 DATE AS OF CHANGE: 20160219 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PEN INC. CENTRAL INDEX KEY: 0000891417 STANDARD INDUSTRIAL CLASSIFICATION: COATING, ENGRAVING & ALLIED SERVICES [3470] IRS NUMBER: 760273345 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 701 BRICKELL AVENUE STREET 2: SUITE 1550 CITY: MIAMI STATE: FL ZIP: 33131 BUSINESS PHONE: 844-273-6462 MAIL ADDRESS: STREET 1: 701 BRICKELL AVENUE STREET 2: SUITE 1550 CITY: MIAMI STATE: FL ZIP: 33131 FORMER COMPANY: FORMER CONFORMED NAME: Applied Nanotech Holdings, Inc DATE OF NAME CHANGE: 20080717 FORMER COMPANY: FORMER CONFORMED NAME: NANO PROPRIETARY INC DATE OF NAME CHANGE: 20071105 FORMER COMPANY: FORMER CONFORMED NAME: NANO PROPRIETARY INC DATE OF NAME CHANGE: 20030702 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carl Zeiss Inc. CENTRAL INDEX KEY: 0001618019 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11602 FILM NUMBER: 161441427 BUSINESS ADDRESS: BUSINESS PHONE: 914-747-1800 MAIL ADDRESS: STREET 1: ONE ZEISS DRIVE CITY: THORNWOOD STATE: NY ZIP: 10594 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-02-18 0 0000891417 PEN INC. PENC 0001618019 Carl Zeiss Inc. ONE ZEISS DRIVE THORNWOOD NY 10594 0 0 1 0 Class A Common Stock 2016-02-18 4 J 0 312 0.00 A 831 D Class Z common stock Class A Common Stock 262631 262631 D Shares acquired on February 18, 2016 were awarded to Carl Zeiss Inc. as compensation for its President and CEO's service as a director of the issuer. Adjusted to reflect the reverse stock split of the outstanding shares of each class of issuer common stock at the ratio of 180-for-1. Each share of Class Z common stock is convertible into one share of the issuer's Class A common stock at any time at the option of the holder on a one-for-one basis. /s/ Carl Zeiss, Inc., by Scott A. Margolin, Vice President - Compliance & Legal Affairs, General Counsel & Secretary 2016-02-19