FORM 8-K

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

 

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

 

Date of Report (Date of earliest event reported): January 20, 2015

 

PEN INC.

(Exact name of registrant as specified in its charter)

 

Delaware   47-1598792
(State or other jurisdiction   (I.R.S. Employer
of incorporation or organization)   Identification No.)

 

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

(Address of principal executive offices) (Zip Code)

 

(844) 273-6462

(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 January 20, 2015, we issued a press release reporting on remarks made by our Chairman and CEO, Scott Rickert, at a webinar. 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
     
99.1   PEN Inc. press release dated January 20, 2015

 

 
 

 

SIGNATURES

 

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: January 20, 2015 By: /s/ Jeanne M Rickert
    Jeanne M Rickert
    Secretary

 

 
 

EXHIBIT 99.1

 

 

PEN Inc. new product development highlighted for emerging nanotechnology enterprises

 

Scott Rickert, PEN Chairman, addresses webinar for National Nanotechnology Coordination Office

 

January 20, 2015 – Deerfield Beach, FL – Scott Rickert, Chairman and CEO of PEN Inc. (OTCQB: PENC), was recently asked to share his experience in nanotechnology commercialization in a webinar entitled “Roadblocks to Success in Nanotechnology Commercialization – What Keeps the Small and Medium Enterprise Community Up at Night?” The online event was sponsored by The National Nanotechnology Coordination Office (NNCO), on behalf of the Nanoscale Science, Engineering, and Technology (NSET) Subcommittee of the Committee on Technology, National Science and Technology Council (NTSC), under the White House Office of Science and Technology Policy. In addition to Dr. Rickert, the webinar panel included Craig Bandes from Pixelligent Technologies, LLC, and James Lamb of Brewer Science, and it was moderated by Dr. Michael Meador, Director of the NNCO. The hour-long event touched on a number of questions from 200 nanotechnology businesspeople, academics, and others.

 

New product development was addressed in Dr. Rickert’s comments. He used a current PEN new product effort as an example of the company’s approach. “Well, we’re working on a product right now that basically addresses the issue of people’s health, personal health. It’s a common problem, and it’s getting worse. We didn’t want to use traditional chemicals. It turns out there isn’t a single nano company we know that knows how do to it.” Rickert then explained how the synergy of PEN’s two subsidiaries working together fuels the development process. “You put enough together, you brainstorm, innovate enough, you come up with something...It’s not just chemistry, it’s physics, biology, the combination of all those things, all the disciplines of science and engineering.”

 

The protection of intellectual property was another topic of interest, and Dr. Rickert shared PEN’s IP porfolio philosophy: “It includes trademarks, service marks, as well as patents. I look at the whole portfolio, and we use all of them. Patents oftentimes are overemphasized.”

 

Dr. Rickert also offered advice for students pursuing a career in nanotechnology. “Find a good company and apprentice. Don’t think you know much coming in, but listen a lot, you’ll learn a lot, then you can start contributing,” he said.

 

An archived version of the webinar is expected to be posted on the NNCO website: https://www.nano.gov/SMEwebinars2015.

 

 
 

 

 

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 www.pen-technology.com.

 

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 www.sec.gov 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.

 

Media contact:

Lynn Lilly
PEN Inc.
(844)2PEN INC x705