Washington, D.C. 20549






Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934


Date of Report (Date of earliest event reported): September 3, 2014



(Exact name of registrant as specified in its charter)


Delaware   47-1598792

(State or other jurisdiction

of incorporation or organization)


(I.R.S. Employer

Identification No.)


431 Fairway Drive, Suite 200, Deerfield Beach, FL 33441

(Address of principal executive offices) (Zip Code) 



(Registrant’s telephone number, including area code)


Former name or former address, if changed since last report:


Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


[  ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)


[  ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)


[  ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))


[  ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))






Item 7.01 Regulation FD Disclosure


On September 17, 2014, we issued a press release announcing a webinar with our Chairman and CEO, Scott Rickert, that will occur at 1p.m. (EDT) on September 25, 2014. A copy of that press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.


The information contained in the press release attached hereto is being furnished and shall not be deemed filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liability of that Section, and shall not be incorporated by reference into any registration statement or other document filed under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.


Item 9.01. Financial Statements and Exhibits


(d) Exhibits.


Exhibit No.   Description

PEN Inc. press release dated September 17, 2014 






Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


    PEN Inc.
Date: September 17, 2014  By: /s/ Jeanne M Rickert
    Jeanne M Rickert






PEN Inc. Chairman, Scott Rickert, will webcast a live company update

September 25, 1 pm EDT


Deerfield Beach, FL – September 17, 2014 – PEN Inc. (OTCQB: PENC) (PEN) today announced that Dr. Scott Rickert, Chairman and Chief Executive Officer, will present a live company update webcast on September 25, 2014 at 1 pm EDT. On September 5, Dr. Rickert took over leadership of PEN, one of the country’s leading companies focused on developing and commercializing advanced-performance products enabled by nanotechnology. A question-and-answer session will follow the presentation.


“The PEN team is already at work to pursue the enormous opportunities for products enhanced by nanotechnology,” said Dr. Rickert. “I want stakeholders know I’m moving forward on the foundation, the strategy, the team expansion, and the resources for my commercialization roadmap.”


Participants can register for the webcast at this address:

The live event can also be followed on Twitter with the hashtag #PENRickert. Questions for Dr. Rickert may be submitted in advance to Lynn Lilly, Director of Communications, at, or by tweeting them via direct Twitter message to @PENRickert or with the hashtag #PENRickert.


“I intend to share updates like these regularly,” added Dr. Rickert. “I want to keep investors and the market aware of the progress we’re making and the opportunities we see.”


About PEN Inc. (OTCQB: PENC)


PEN Inc. (PENC) is a global leader in developing, commercializing and marketing enhanced-performance products enabled by nanotechnology. The company focuses on innovative and advanced product solutions in safety, health and sustainability. For more information about PEN Inc, visit


Safe Harbor Statement


This press release contains forward-looking statements that involve risks and uncertainties concerning our business, products, and financial results. Actual results may differ materially from the results predicted. More information about potential risk factors that could affect our business, products, and financial results are included in our annual report on Form 10-K for the fiscal year ended December 31, 2013, and in reports subsequently filed by us with the Securities and Exchange Commission (“SEC”). All documents are available through the SEC’s Electronic Data Gathering Analysis and Retrieval System (EDGAR) at or from our website listed above. We hereby disclaim any obligation to publicly update the information provided above, including forward-looking statements, to reflect subsequent events or circumstances.


Contact Information:

Lynn Lilly

Director of Communication

PEN Inc.

(844)2PEN INC x705