0000899243-17-015046.txt : 20170601 0000899243-17-015046.hdr.sgml : 20170601 20170601211038 ACCESSION NUMBER: 0000899243-17-015046 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170523 FILED AS OF DATE: 20170601 DATE AS OF CHANGE: 20170601 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: DE 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: 17886267 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 2017-05-23 0 0000891417 PEN INC. PENC 0001618019 Carl Zeiss Inc. ONE ZEISS DRIVE THORNWOOD NY 10594 0 0 1 0 Class A Common Stock 2017-05-23 4 C 0 262631 A 263462 D Class A Common Stock 2017-05-23 4 S 0 263462 0.38 D 0 D Class Z common stock 2017-05-23 4 C 0 262631 0.00 D Class A Common Stock 262631 262631 D 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 2017-06-01