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): August 30, 2016



(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.)


701 Brickell Avenue, Suite 1550, Miami Florida 33131

(Address of principal executive offices) (Zip Code)


(844) 736-6266

(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 August 30, 2016, we issued a press release announcing that Anne Marie Thomas has joined us to lead sales and marketing. A copy of that press release is attached as Exhibit 99.1 and is incorporated 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 August 30, 2016






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: August 30, 2016 By: /s/ Jeanne M Rickert






For immediate Release


PEN Inc. Taps Anne Marie Thomas to Lead Marketing and Sales


MIAMI, FL—August 30, 2016 - PEN Inc. (OTCQB: PENC) (“PEN” or “the Company”), a leader in developing, commercializing and marketing consumer and industrial products enabled by nanotechnology, today announced that Anne Marie Thomas, a seasoned executive with over 25 years of marketing and branding expertise, has joined PEN as President of two subsidiaries, Nanofilm, Ltd., and PEN Technology LLC.


Dr. Thomas has extensive experience in high-level strategy, marketing and general management, with winning brand leadership roles at NetJets Inc: A Berkshire Hathaway Company, Tween Brands, American Greetings, Bath & Body Works, PINK and Victoria’s Secret. She holds master’s and doctoral degrees in Quantitative and Qualitative Research from The Ohio State University.


“PEN has a compelling portfolio and pipeline of groundbreaking products enabled by nanotechnology. I look forward to working with entire organization to build PEN’s brands so they are known as the right solutions to today’s problems,” said Dr. Thomas.


“The addition of Ann Marie Thomas to our team elevates our marketing and branding capabilities to a much higher level,” said Dr. Scott Rickert, Chairman and CEO of PEN. “As one of the top brand managers in the country, she brings a wealth of experience and expertise to PEN. In addition to leading the marketing for our new products, under her leadership we will be able to grow our sales in new distribution channels and reach a broader audience. We are excited to have Anne Marie on board to help us execute our growth strategy.”


About PEN Inc.


PEN Inc. (OTCQB: PENC) is a leader in developing, commercializing, and marketing consumer and industrial products enabled by nanotechnology that solve everyday problems for customers in the optical, transportation, military, sports, and safety industries. Through PEN’s wholly-owned subsidiary Nanofilm Ltd., the Company develops, manufactures and sells products based on nanotechnology including the ULTRA CLARITY® brand eyeglass cleaner, CLARITY DEFOG IT™ brand defogging products and CLARITY ULTRASEAL® nanocoating products for glass and ceramics. The Company also sells an environmentally friendly surface protector, fortifier, and cleaner through a wholly-owned subsidiary, PEN Technology, LLC. The Company’s Applied Nanotech, Inc. subsidiary in Austin, Texas functions as the Design Center conducting research and development services for government and private customers and new product development for PEN focusing on innovative and advanced product solutions in the areas of safety, health, and sustainability. For more information about PEN, visit www.penc.us.


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, 2015, 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.


Contact Information:

PEN Inc.

Elaine Ketchmere


(844) 273-6462