0001493152-18-014965.txt : 20181030 0001493152-18-014965.hdr.sgml : 20181030 20181030133224 ACCESSION NUMBER: 0001493152-18-014965 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181015 FILED AS OF DATE: 20181030 DATE AS OF CHANGE: 20181030 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Berman Tom J. CENTRAL INDEX KEY: 0001757509 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11602 FILM NUMBER: 181146318 MAIL ADDRESS: STREET 1: 750 DENISON COURT CITY: BLOOMFIELD HILLS STATE: MI ZIP: 48302 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 3 1 ownership.xml X0206 3 2018-10-15 1 0000891417 PEN INC. PENC 0001757509 Berman Tom J. 701 BRICKELL AVE, SUITE 1550 MIAMI FL 33040 1 1 0 0 President Reporting person shares with Ronald J. Berman the voting power and dispositive power with respect to: 550,847 shares of Class A common stock ("Shares"); Options, exercise price $1.00 per share, to acquire 550,847 Shares; Warrants, exercise price $1.50 per share, to acquire 550,847 Shares; Warrant Options granting right to purchase at $0.03 per warrant a warrant to purchase 550,847 Shares at a warrant exercise price of $2.00 per share. Reporting person claims no beneficial interest in these securities. /s/ Tom Jordan Berman 2018-10-30