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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Nano Magic Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| February 21, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0167 Expires: August 31, 2027 Estimated average burden hours per response ………… 1.50 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANG |
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| December 12, 2024 |
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): December 10, 2024 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) ( |
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| November 19, 2024 |
Option dated July 29, 2024 issued to Tom J. Berman Exhibit 4.1 THIS OPTION AND THE SHARES PURCHASABLE HEREUNDER HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. Da |
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| November 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q ☒ Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2024 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| November 19, 2024 |
Exhibit 4.2 THIS OPTION AND THE SHARES PURCHASABLE HEREUNDER HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. Da |
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| November 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: February 8, 2022 Estimated average burden hours per response. 2.50 FORM 12b-25 SEC FILE NUMBER 001-11602 CUSIP NUMBER NOTIFICATION OF LATE FILING 001-11602 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: 9/30/2024 ☐ |
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| October 16, 2024 |
NANO MAGIC VINDICATED BY SEC IN HISTORIC REVERSAL OF 2020 TRADING SUSPENSION Exhibit 99.1 NANO MAGIC VINDICATED BY SEC IN HISTORIC REVERSAL OF 2020 TRADING SUSPENSION MADISON HEIGHTS, Mich. – October 16, 2024 – Nano Magic Inc. (OTCMKT: NMGX) (“Nano Magic” or the “Company”), a leader in nanotechnology-powered cleaning, protection and anti-fog solutions, announced that, on October 10, 2024, the Securities and Exchange Commission (“SEC”) finally granted Nano Magic’s Petition |
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| October 16, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): October 16, 2024 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (C |
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| August 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q ☒ Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2024 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| August 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: February 8, 2022 Estimated average burden hours per response. 2.50 FORM 12b-25 SEC FILE NUMBER 001-11602 CUSIP NUMBER NOTIFICATION OF LATE FILING 001-11602 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: 6/30/2024 ☐ |
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| July 30, 2024 |
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): July 29, 2024 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (Comm |
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| June 24, 2024 |
Changes in Registrant's Certifying Accountant, Financial Statements and Exhibits 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): June 19, 2024 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (Comm |
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| June 24, 2024 |
Exhibit 16.1 June 24, 2024 Office of the Chief Accountant Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Ladies and Gentlemen: We have read the statements included under Item 4.01 of the Form 8-K dated June 19, 2024 to be filed by Nano Magic Inc. We agree with the statements under Item 4.01 insofar as they relate to our Firm. We are not in a position to agree or disagre |
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| May 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q ☒ Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2024 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| May 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: Februrary 8, 2022 Estimated average burden hours per response. 2.50 FORM 12b-25 SEC FILE NUMBER 001-11602 CUSIP NUMBER NOTIFICATION OF LATE FILING 001-11602 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: 3/31/2024 |
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| April 29, 2024 |
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): April 29, 2024 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (Com |
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| April 24, 2024 |
Exhibit 99.1 NANO MAGIC UPDATE Madison Heights, Michigan – April 24, 2024 – Nano Magic, Inc. (OTC: NMGX) (“Nano Magic” or the “Company”), a leader in innovative nanotechnology powered cleaning solutions, protective coatings, and anti-fog products provided an update from President & CEO Tom Berman following the Company’s filing on April 3, 2024, of its Annual Report on Form 10-K for the year ended |
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| April 24, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): April 24, 2024 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (Com |
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| April 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ Annual report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2023 ☐ Transition report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to COMMISSION FILE NO. 1-11602 Nano Magic Inc. (Exact name of registrant as s |
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| April 3, 2024 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of the Registrant None |
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| April 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: Februrary 8,2022 Estimated average burden hours per response. 2.50 FORM 12b-25 SEC FILE NUMBER 001-11602 CUSIP NUMBER NOTIFICATION OF LATE FILING 001-11602 (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: 12/31/2023 |
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| February 13, 2024 |
NMGX / Nano Magic Inc. / BERMAN RONALD J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 15 Nano Magic Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 63010N 105 (CUSIP Number) Ronald J. Berman 31601 Research Park Dr. Madison Heights MI 48071 844-273-6462 (Name, Address and Telephone Number of Person Authorized to Receive Notice |
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| February 7, 2024 |
Exhibit B effective as of January 1, 2024 by and between Nano Magic Inc. and Tom Berman Exhibit 10.1 EXHIBIT B THIS EXHIBIT B (the “Exhibit”), by and between Nano Magic Inc. (the “Company”) and Tom Berman (“Employee”), supplements and relates to that certain Employment Agreement having an Effective Date of April 3, 2019 previously amended in 2021 (the “Agreement”). In consideration of the covenants contained in the Agreement and herein, the parties, intending to be legally bound, her |
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| February 7, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): February 5, 2024 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (C |
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| February 5, 2024 |
NMGX / Nano Magic Inc. / Rickert Scott E. Activist Investment SC 13D/A 1 formsc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 5 Nano Magic Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 63010N 105 (CUSIP Number) Scott E. Rickert 31601 Research Park Drive Madison Heights, MI 48701 844-273-6462 (Name, Address and Telephone Number of Person |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q ☒ Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2023 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| October 24, 2023 |
Exhibit 99.1 From: David Sherbin Date: Friday, October 20, 2023 at 3:44 PM To: Tom Berman Subject: Board of Directors Dear Tom, I am writing to inform you that I have decided to step down from the Board of Directors of Nano Magic, effective immediately. I am stepping down for personal reasons, and I want to make clear that I have no disagreement with senior management, the Board or the Company’s a |
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| October 24, 2023 |
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): October 20, 2023 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (C |
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| August 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q ☒ Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2023 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| May 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q ☒ Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2023 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| April 21, 2023 |
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): April 20, 2023 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (Com |
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| April 21, 2023 |
Exhibit 99.1 FOR IMMEDIATE RELEASE NANO MAGIC UPDATE Madison Heights, Michigan – April 21, 2023 – Nano Magic, Inc. (OTC: NMGX) (“Nano Magic” or the “Company”), a leader in innovative nanotechnology powered cleaning, protection, and anti-fog solutions provided an update from President & CEO Tom Berman following the Company’s filing on April 11, 2023, of its Annual Report on Form 10-K for the year e |
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| April 11, 2023 |
Form of amendment to extend term of Warrant(s) Exhibit 4.12 Amendment to Warrant[s] This Amendment to Warrant[s] dated as of May 26, 2022, is by and between (“Holder”), and Nano Magic Holdings Inc., a Delaware corporation formerly known as PEN Inc. (the “Company”). 1. The Company has issued to Holder warrants to purchase Class A common stock of the Company that, under the amended and restated certificate of incorporation of the Company is now |
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| April 11, 2023 |
Form of Amendment to Option(s) to permit personal representative to exercise vested options Exhibit 4.13 AMENDMENT TO OPTIONS This Amendment to Options is dated as of December 6, 2022, by and between [Tom J. Berman OR Ronald J. Berman] (“Holder”) and Nano Magic Inc. (the “Company”). 1. The Company has issued to Holder [identify options] 2. In further consideration for Holder’s service to the company, the Company, acting by its Board of Directors, has determined that, in the event of Hold |
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| April 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ Annual report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2022 ☐ Transition report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to COMMISSION FILE NO. 1-11602 Nano Magic Inc. (Exact name of registrant as s |
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| April 11, 2023 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of the Registrant None |
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| April 11, 2023 |
Form of Secured, Convertible Promissory Note Exhibit 4.14 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS AND MAY NOT BE SOLD OR OTHERWISE TRANSFERRED BY ANY PERSON, INCLUDING A PLEDGEE, UNLESS (1) EITHER (A) A REGISTRATION STATEMENT WITH RESPECT THERETO SHALL BE EFFECTIVE UNDER THE SECURITIES ACT, OR (B) THE COMPANY SHALL HAVE RECEIVED AN OPINION |
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| April 11, 2023 |
Exhibit 3.3 STATE OF DELAWARE CERTIFICATE OF MERGER OF DOMESTIC CORPORATION AND FOREIGN LIMITED LIABILITY COMPANY Pursuant to Title 8, Section 264(c) of the Delaware Corporation Law, the undersigned corporation executed the following Certificate of Merger: FIRST: The name of the surviving corporation is now Nano Magic Holdings Inc., a Delaware corporation, and the name of the limited liability com |
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| March 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: Februrary 8,2022 Estimated average burden hours per response. 2.50 FORM 12b-25 SEC FILE NUMBER 001-11602 CUSIP NUMBER NOTIFICATION OF LATE FILING 001-11602 (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: 12/31/2022 |
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| March 7, 2023 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 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): December 31, 2022 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) ( |
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| February 9, 2023 |
NMGX / NANO MAGIC INC / BERMAN RONALD J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 14 Nano Magic Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 63010N 105 (CUSIP Number) Ronald J. Berman 31601 Research Park Dr. Madison Heights MI 48071 844-273-6462 (Name, Address and Telephone Number of Person Authorized to Receive Notice |
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| February 2, 2023 |
NMGX / NANO MAGIC INC / Rickert Scott E. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 4 Nano Magic Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 63010N 105 (CUSIP Number) Scott E. Rickert 31601 Research Park Drive Madison Heights, MI 48701 844-273-6462 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| December 6, 2022 |
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): December 5, 2022 Nano Magic Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organiz |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q ☒ Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2022 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| August 22, 2022 |
Secured Promissory Note dated May 31, 2022 made by Jacqueline M. Soptick and Richard Lee Fink Exhibit 10.2 Secured Promissory Note $450,000.00 Austin, TX May 31, 2022 For value received Jacqueline M. Soptick, a resident of Texas, and Richard Lee Fink, also a resident of Texas(collectively, the ?Buyers?), hereby jointly, severally and unconditionally promise to pay to the order of Nano Magic Holdings Inc., a Delaware corporation (together with successors and assigns, the ?Seller?), the prin |
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| August 22, 2022 |
Exhibit 10.1 Stock Purchase Agreement This Stock Purchase Agreement (this ?Agreement?), dated as of May 27, 2022, is by and among Jacqueline M. Soptick, a resident of Texas (Soptick?), and Richard Lee Fink, a resident of Texas ( ?Fink? and, jointly and severally, with Soptick ?Buyers?) and Nano Magic Holdings Inc., a Delaware corporation (?Seller?). Background A. Soptick and Fink have each worked |
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| August 22, 2022 |
From of Amendment to Warrant[s] dated May 26, 2022 Exhibit 4.1 Amendment to Warrant[s] This Amendment to Warrant[s] dated as of May 26, 2022, is by and between PEN Comeback 2, LLC, a Michigan limited liability company (?Holder?), and Nano Magic Holdings Inc., a Delaware corporation formerly known as PEN Inc. (the ?Company?). 1. The Company has issued to Holder warrant[s] to purchase Class A common stock of the Company that, under the amended and r |
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| August 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q ? Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2022 ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| August 12, 2022 |
PART I — REGISTRANT INFORMATION OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: Februrary 8,2022 Estimated average burden hours per response. 2.50 FORM 12b-25 SEC FILE NUMBER 001-11602 CUSIP NUMBER NOTIFICATION OF LATE FILING 001-11602 (Check one): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: 06/30/2022 |
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| June 1, 2022 |
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): May 25, 2022 Nano Magic Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organizatio |
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| June 1, 2022 |
Exhibit 99.1 NANO MAGIC SELLS MAJORITY INTEREST IN APPLIED NANOTECH TO EMPLOYEES AND ELECTS DAVID SHERBIN TO BOARD MADISON HEIGHTS, Mich. ? May 27, 2022 ? Nano Magic Holdings, Inc. (OTCMKT: NMGX) (?Nano Magic? or the ?Company?), a leader in nanotechnology-powered cleaning, protection and anti-fog solutions announced that effective at the end of the month it is selling a majority interest in Applie |
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| May 31, 2022 |
NMGX / NANO MAGIC INC / BERMAN RONALD J Activist Investment SC 13D/A 1 formsc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 13 Nano Magic Holdings Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 63010N 105 (CUSIP Number) Ronald J. Berman 31601 Research Park Dr. Madison Heights MI 48071 844-273-6462 (Name, Address and Telephone Number of |
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| May 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q ? Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2022 ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| March 30, 2022 |
Form of Convertible Promissory Note Exhibit 4.11 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUED UPON ANY CONVERSION HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), OR ANY APPLICABLE STATE SECURITIES LAWS AND MAY NOT BE SOLD OR OTHERWISE TRANSFERRED BY ANY PERSON, INCLUDING A PLEDGEE, UNLESS (1) EITHER (A) A REGISTRATION STATEMENT WITH RESPECT THERETO SHALL BE EFFECTIVE UNDER THE |
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| March 30, 2022 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of the Registrant Applied Nanotech, Inc., Delaware Nano Magic LLC, Michigan |
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| March 30, 2022 |
Exhibit 4.10 THIS WARRANT AND THE SHARES PURCHASABLE HEREUNDER HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. |
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| March 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? Annual report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2021 ? Transition report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to COMMISSION FILE NO. 1-11602 Nano Magic Holdings Inc. (Exact name of regist |
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| February 17, 2022 |
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): February 16, 2022 Nano Magic Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organi |
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| February 17, 2022 |
Exhibit 99.1 NANO MAGIC ELECTS MILES GATLAND TO BOARD, MAKES PROGRESS BUILDING BRAND, AND FILES REQUEST FOR WRIT OF MANDAMUS MADISON HEIGHTS, Mich. ? February 17, 2022 ? Nano Magic Holdings, Inc. (OTCMKT: NMGX), a leader in nanotechnology-powered cleaning, protection and anti-fog solutions announced that Miles Gatland has been elected to join its Board of Directors. Tom Berman, President and CEO, |
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| February 15, 2022 |
NMGX / NANO MAGIC INC / BERMAN RONALD J Activist Investment SC 13D/A 1 formsc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 12 Nano Magic Holdings Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 63010N 105 (CUSIP Number) Ronald J. Berman 31601 Research Park Dr. Madison Heights MI 48071 844-273-6462 (Name, Address and Telephone Number of |
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| February 4, 2022 |
NMGX / NANO MAGIC INC / Rickert Scott E. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 3* Nano Magic Holdings Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 63010N 105 (CUSIP Number) Scott E. Rickert 31601 Research Park Drive Madison Heights, MI 48701 844-273-6462 (Name, Address and Telephone Number of Person Authorized to Re |
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| November 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q ? Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2021 ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| November 15, 2021 |
NMGX / NANO MAGIC INC / BERMAN RONALD J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 11 Nano Magic Holdings Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 63010N 105 (CUSIP Number) Ronald J. Berman 31601 Research Park Dr. Madison Heights MI 48071 844-273-6462 (Name, Address and Telephone Number of Person Authorized to Recei |
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| November 12, 2021 |
PART I — REGISTRANT INFORMATION OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: Februrary 8,2022 Estimated average burden hours per response. 2.50 FORM 12b-25 SEC FILE NUMBER 001-11602 CUSIP NUMBER NOTIFICATION OF LATE FILING 001-11602 (Check one): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: 09/30/2021 |
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| October 28, 2021 |
Exhibit 10.1 INDEMNIFICATION AND ADVANCEMENT AGREEMENT This Indemnification and Advancement Agreement (?Agreement?) is made as of May 13, 2021 by and between Nano Magic Holdings Inc., a Delaware corporation (the ?Company?), and , a member of the Board of Directors of the Company (?Indemnitee?). Background A. The Board of Directors of the Company (the ?Board?) believes that capable individuals have |
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| October 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q ? Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2021 ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| August 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2021 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| May 28, 2021 |
OPTION TO PURCHASE SHARES OF COMMON STOCK OF NANO MAGIC HOLDINGS INC. Exhibit 4.11 THIS OPTION AND THE SHARES PURCHASABLE HEREUNDER HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. D |
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| May 28, 2021 |
Exhibit 4.8 THIS OPTION AND THE SHARES PURCHASABLE HEREUNDER HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. Da |
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| May 28, 2021 |
Exhibit 10.11 INDEMNIFICATION AND ADVANCEMENT AGREEMENT This Indemnification and Advancement Agreement (?Agreement?) is made as of , 2021 by and between Nano Magic Holdings Inc., a Delaware corporation (the ?Company?), and , a member of the Board of Directors of the Company (?Indemnitee?). Background A. The Board of Directors of the Company (the ?Board?) believes that capable individuals have beco |
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| May 28, 2021 |
Exhibit 10.9 |
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| May 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] Annual report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2020 [ ] Transition report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to COMMISSION FILE NO. 1-11602 Nano Magic Holdings Inc. (Exact name of re |
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| May 28, 2021 |
Exhibit 10.7 NANO MAGIC HOLDINGS INC. 2021 EQUITY INCENTIVE PLAN 1. Purpose. The purpose of this Plan is to permit equity compensation for those who provide services to the Company and to encourage ownership in the Company by personnel whose service the Company is important to its continued progress, to encourage recipients to act as owners and thereby in the stockholders? interest and to enable r |
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| May 28, 2021 |
Exhibit 4.9 THIS OPTION AND THE SHARES PURCHASABLE HEREUNDER HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. Da |
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| May 28, 2021 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of the Registrant Nano Magic LLC Ohio Applied Nanotech, Inc. Delaware |
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| May 28, 2021 |
Exhibit 10.6 EXHIBIT B THIS EXHIBIT B (the ?Exhibit?), by and between Nano Magic Inc. (the ?Company?) and Tom Berman (?Employee?), supplements and relates to that certain Employment Agreement having an Effective Date of April 3, 2019 (the ?Agreement?). In consideration of the covenants contained in the Agreement and herein, the parties, intending to be legally bound, hereby agree as follows: Servi |
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| May 28, 2021 |
Exhibit 4.7 Dated: July 13, 2020 WARRANT TO PURCHASE SHARES OF COMMON STOCK OF NANO MAGIC INC. This certifies that Magic Growth, LLC (the ?Holder?), for value received, is entitled to purchase, at the Stock Purchase Price (as defined below), from Nano Magic Inc., a Delaware corporation (the ?Company?), up to 388,450 fully paid and nonassessable shares (the ?Warrant Shares?) of Common Stock, $0.000 |
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| May 28, 2021 |
Exhibit 3.2 CERTIFICATE OF AMENDMENT TO CERTIFICATE OF INCORPORATION The Corporation organized and existing under the General corporation Law of the State of Delaware under the name Nano Magic Inc. does hereby certify: (1) The Board of Directors acting by unanimous written action on March 2, 2021 adopted a resolution to amend the certificate of incorporation to restate Article 1 to read, in its en |
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| May 28, 2021 |
Exhibit 10.10 EXHIBIT B THIS EXHIBIT B (the ?Exhibit?), by and between Nano Magic Inc. (the ?Company?) and Tom Berman (?Employee?), supplements and relates to that certain Employment Agreement having an Effective Date of April 3, 2019 (the ?Agreement?). In consideration of the covenants contained in the Agreement and herein, the parties, intending to be legally bound, hereby agree as follows: Serv |
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| May 21, 2021 |
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): May 13, 2021 Nano Magic Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organizatio |
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| May 21, 2021 |
Resignation letter from Todd Lunsford Exhibit 99.1 |
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| March 26, 2021 |
NT 10-K 1 formnt10-k.htm OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: February 8, 2022 Estimated average burden hours per response. 2.50 FORM 12b-25 SEC FILE NUMBER 001-11602 CUSIP NUMBER NOTIFICATION OF LATE FILING 001-11602 (Check one): [X] Form 10-K [] Form 20-F [] Form 11-K [] Form 10-Q [] Form 10-D [] Form N-SAR [] Form N- |
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| March 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 10 Nano Magic Holdings Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 63010N 105 (CUSIP Number) Ronald J. Berman 31601 Research Park Dr. Madison Heights MI 48071 844-273-6462 (Name, Address and Telephone Number of Person Authorized to Recei |
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| March 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 9 Nano Magic Holdings Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 63010N 105 (CUSIP Number) Ronald J. Berman 31601 Research Park Dr. Madison Heights MI 48071 844-273-6462 (Name, Address and Telephone Number of Person Authorized to Receiv |
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| March 5, 2021 |
EX-1 2 ex-1.htm Exhibit I Amended Joint Filing Agreement Pursuant to Rule 12d-1 This Amended Joint Filing Agreement is made pursuant to Rule 13d-1(k)(1) under the Securities and Exchange Act of 1934, as amended (the “Act”) by and between the parties listed below, each referred to herein as a “Joint Filer.” The Joint Filers agree that a statement of beneficial ownership as required by Sections 13(g |
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| March 4, 2021 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 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): March 2, 2021 Nano Magic Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organizati |
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| November 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2020 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| November 16, 2020 |
OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: August 31, 2015 Estimated average burden hours per response. 2.50 FORM 12b-25 SEC FILE NUMBER 001-11602 CUSIP NUMBER NOTIFICATION OF LATE FILING 63010N 105 (Check one): [] Form 10-K [] Form 20-F [] Form 11-K [X] Form 10-Q [] Form 10-D [] Form N-SAR [] Form N-CSR For Period Ended: Sep |
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| November 12, 2020 |
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): November 10, 2020 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) ( |
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| October 26, 2020 |
NMGX / NANO MAGIC INC / BERMAN RONALD J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 8 Nano Magic Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 63010N 105 (CUSIP Number) Ronald J. Berman 750 Denison Court Bloomfield Hills MI 48302 844-273-6462 (Name, Address and Telephone Number of Person Authorized to Receive Notices and |
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| October 8, 2020 |
Nano Magic Inc. Marks Progress Exhibit 99.1 Nano Magic Inc. Marks Progress DETROIT, Michigan – October 8, 2020 – Nano Magic Inc. (OTC: NMGX) (“Nano Magic” or the “Company”), a leader in cutting-edge nanotechnology powered solutions formulated in the U.S.A. released a Progress Report from President & CEO Tom Berman following the Company’s filing on October 5, 2020 of its quarterly report on Form 10-Q for the quarter ended June 3 |
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| October 8, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits - 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): October 8, 2020 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (Co |
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| October 5, 2020 |
Lease Agreement, dated August 10, 2020, by and between Nano Magic LLC and Team Financial Group, Inc. Exhibit 10.1 |
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| October 5, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2020 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| October 5, 2020 |
Exhibit 10.3 |
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| October 5, 2020 |
Exhibit 10.2 PIERCE CAPITAL INVESTING AGREEMENT LESSOR: LESSEE: Pierce Capital Investing, LLC NANO Magic LLC 9885 Milford Rd Full Legal Name 31601 Research Park DR. Holly, Ml 48442 Billing Address 734-502-8342 Madison Heights M1 49071 City State Zip Jacque Soptick [email protected] Send invoice to attention of (800) 883 - 6266 Telephone EQUIPMENT INFORMATION: SEE ATTACHED EXHIBIT A EQUIPMEN |
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| October 5, 2020 |
Exhibit 10.4 CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS EXHIBIT IN ACCORDANCE WITH REGULATION S-K ITEM 601(a)(6) BECAUSE IT WOULD CONSTITUTE A CLEARLY UNWARRANTED INVASION OF PERSONAL PRIVACY. [*] INDICATES THAT INFORMATION HAS BEEN REDACTED.”; NOWaccount Network Corporation 2300 Peachtree Road NW Suite C-102 Atlanta, GA 30309 www.nowaccount.com Instructions for Completing the NOWa |
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| September 14, 2020 |
NMGX / NANO MAGIC INC / BERMAN RONALD J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 7 Nano Magic Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 63010N 105 (CUSIP Number) Ronald J. Berman 750 Denison Court Bloomfield Hills MI 48302 844-273-6462 (Name, Address and Telephone Number of Person Authorized to Receive Notices and |
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| August 18, 2020 |
NMGX / NANO MAGIC INC / BERMAN RONALD J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 6 Nano Magic Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 63010N 105 (CUSIP Number) Ronald J. Berman 750 Denison Court Bloomfield Hills MI 48302 844-273-6462 (Name, Address and Telephone Number of Person Authorized to Receive Notices and |
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| August 14, 2020 |
Unregistered Sales of Equity Securities 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): August 12, 2020 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (Co |
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| July 15, 2020 |
Unregistered Sales of Equity Securities 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): July 13, 2020 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (Comm |
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| July 15, 2020 |
NMGX / NANO MAGIC INC / Berman Ronald J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 5 Nano Magic Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 63010N 105 (CUSIP Number) Ronald J. Berman 750 Denison Court Bloomfield Hills MI 48302 844-273-6462 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| July 15, 2020 |
Exhibit I Joint Filing Agreement Pursuant to Rule 12d-1 This Joint Filing Agreement is made pursuant to Rule 13d-1(k)(1) under the Securities and Exchange Act of 1934, as amended (the “Act”) by and between the parties listed below, each referred to herein as a “Joint Filer. |
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| July 15, 2020 |
NMGX / NANO MAGIC INC / Berman Tom J. Activist Investment SC 13D/A 1 formsc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 4 Nano Magic Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 63010N 105 (CUSIP Number) Tom J. Berman 750 Denison Court Bloomfield Hills MI 48302 844-273-6462 (Name, Address and Telephone Number of Person Authorized |
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| July 2, 2020 |
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): July 2, 2020 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (Commi |
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| July 2, 2020 |
Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF NANO MAGIC INC. ARTICLE 1 The name of the Corporation is Nano Magic Inc. ARTICLE 2 The address of the registered office of the Corporation in the State of Delaware is3411 Silverside Road, Suite 104, Tatnall Building, City of Wilmington, County of New Castle, Delaware 19801. The name of the Corporation’s registered agent at such addre |
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| June 30, 2020 |
Lease Agreement, effective May 31, 2020, between Magic Research LLC and Nano Magic LLC. Exhibit 10.1 LEASE AGREEMENT BETWEEN MAGIC RESEARCH LLC AND NANO MAGIC LLC SUMMARY OF LEASE Lessor: Magic Research LLC, a Michigan limited liability Company Tenant: Nano Magic LLC, an Ohio limited liability company Premises: An approximate 29,220 usable square foot free-standing one story building (“Building”), as shown on Exhibit A, with related amenities including parking, all situated on an app |
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| June 30, 2020 |
Exhibit 4.1 THIS WARRANT AND THE SHARES PURCHASABLE HEREUNDER HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. D |
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| June 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2020 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| June 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INFORMATION STATEMENT SCHEDULE 14C INFORMATION (Rule 14c-101) Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: [ ] Preliminary Information Statement [ ] Confidential, For Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) [X] Definitive Information Sta |
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| June 4, 2020 |
Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities 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): May 31, 2020 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (Commi |
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| June 1, 2020 |
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): May 28, 2020 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (Commi |
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| May 15, 2020 |
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): May 15, 2020 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (Commi |
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| May 15, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 [X] Annual report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2019; or [ ] Transition report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to COMMISSION FILE NO. 1-11602 Nano Magic Inc. (Exa |
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| May 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INFORMATION STATEMENT SCHEDULE 14C INFORMATION (Rule 14c-101) Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: [X] Preliminary Information Statement [ ] Confidential, For Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) [ ] Definitive Information Sta |
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| May 13, 2020 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of the Registrant Nano Magic LLC Ohio Applied Nanotech, Inc. Delaware |
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| May 13, 2020 |
U.S Small Business Administration Note, dated May 8, 2020, from Nano Magic LLC to Fifth Third Bank. Exhibit 10.15 |
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| May 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] Annual report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2019; or [ ] Transition report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to COMMISSION FILE NO. 1-11602 Nano Magic Inc. (Exact name of registr |
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| May 13, 2020 |
Certificate of Amendment to the Amended and Restated Certificate of Incorporation Exhibit 3.3 CERTIFICATE OF AMENDMENT TO CERTIFICATE OF INCORPORATION The Corporation organized and existing under the General corporation Law of the State of Delaware under the name PEN Inc. does hereby certify: (1) The Board of Directors acting by unanimous written action on March 2, 2020 adopted a resolution to amend the certificate of incorporation to restate Article 1 to read, in its entirety, |
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| May 13, 2020 |
Exhibit 10.14 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (hereinafter the “Agreement”) is by and between PEN Inc., a Delaware corporation (the “Company”) and Tom Berman (the “Employee”), an individual. This Agreement is effective on April 3, 2019, (the “Effective Date”), except that Part 4 (Intellectual Property) and Part 5 (Proprietary Information) of this Agreement, will apply to all of the |
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| May 6, 2020 |
Nano Magic Inc. Responds to Securities Trading Suspension Exhibit 99.1 Nano Magic Inc. Responds to Securities Trading Suspension For Immediate Release DETROIT, Michigan – May 6, 2020 – Nano Magic Inc. (OTCMKT: NMGX), , announced today, in connection with an Order of Suspension of Trading issued on April 30, 2020 by the Securities and Exchange Commission (“SEC”), that neither the Company, nor its officers or directors were the source of “information in th |
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| May 6, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): May 6, 2020 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (Commis |
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| April 28, 2020 |
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): April 28, 2020 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (Com |
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| April 7, 2020 |
Exhibit 99.1 Nano Magic Inc., Formerly PEN Inc., Announces New Name, New Trading Symbol, Rebrand, and New Product Line Coming Soon For Immediate Release DETROIT, Michigan – April 7, 2020 – Nano Magic Inc. (OTCMKT: NMGX), formerly PEN Inc., announced today its new name, new trading symbol, and rebrand, plus an exciting new product line coming soon. Tom Berman, President and CEO, explained: “We have |
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| April 7, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 form8k.htm 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): April 7, 2020 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or or |
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| March 30, 2020 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Other Events 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): March 2, 2020 Nano Magic Inc. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (Comm |
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| February 14, 2020 |
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): February 12, 2020 PEN INC. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (Commiss |
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| January 27, 2020 |
Changes in Registrant's Certifying Accountant 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 26, 2020 PEN INC. (Exact name of registrant as specified in its charter) Delaware 001-11602 47-1598792 (State or other jurisdiction of incorporation or organization) (Commissi |
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| January 14, 2020 |
PENC / PEN Inc. 10-Q - Quarterly Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2019 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| January 8, 2020 |
PENC / PEN Inc. 10-Q - Quarterly Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2019 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| December 23, 2019 |
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): December 17, 2019 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer I |
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| December 23, 2019 |
Letter from Tama, Budaj & Raab, P.C. Exhibit 16.1 |
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| December 23, 2019 |
To: Scott Rickert, Chairman - PEN Inc. Exhibit 99.1 To: Scott Rickert, Chairman - PEN Inc. Re: Resignation from PEN Inc. Board of Directors Dear Scott, Please accept my resignation as a member of PEN Inc.’s Board of Directors, effective December 20, 2019. This was a hard decision as I am proud of the work we have done together, first with NanoFilm and then with PEN. Given my other commitment, however, I have been forced to evaluate all |
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| December 19, 2019 |
PENC / PEN Inc. 10-Q - Quarterly Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2019 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| November 13, 2019 |
Exhibit 4.10 Registration Rights Agreement This is the Registration Rights Agreement by and between PEN Inc., a Delaware corporation (the “Company”) and PEN Comeback 2 LLC, a Michigan limited liability company (“Investor”), dated September 6, 2019. 1. Registrations Rights. If the exercise by the Investor of the Warrants provides proceeds to the Company of $1 million or more, then the Investor shal |
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| November 13, 2019 |
Exhibit 4.9 WARRANT TO PURCHASE SHARES OF CLASS A COMMON STOCK OF PEN INC. Dated: [date of issue] This certifies that PEN Comeback, LLC (the “Holder”), for value received, is entitled to purchase, at the Stock Purchase Price (as defined below), from PEN Inc., a Delaware corporation (the “Company”), up to fully paid and nonassessable shares (the “Warrant Shares”) of Class A Common Stock, $0.0001 pa |
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| November 13, 2019 |
PENC / PEN Inc. 10-K - Annual Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] Annual report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2018; or [ ] Transition report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to COMMISSION FILE NO. 1-11602 PEN Inc. (Exact name of registrant as |
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| November 13, 2019 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of the Registrant PEN Brands LLC Ohio Applied Nanotech, Inc. Delaware |
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| November 13, 2019 |
Exhibit 10.9 AMENDMENT TO COMMERCIAL PROMISSORY NOTE THIS AMENDMENT, dated this 18th day of June 2019, by and between PEN BRANDS LLC, successor by merger to Nanofilm, Ltd., an Ohio limited liability company, whose principal office is located at 101 I l Sweet Valley Drive, Valley View, Ohio, 44125 (hereinafter referred to as “Borrower”), and KEYBANK NATIONAL ASSOCIATION, a national banking corporat |
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| November 13, 2019 |
Exhibit 4.8 OPTION TO PURCHASE SHARES OF CLASS A COMMON STOCK OF PEN INC. Dated: April 3, 2019 This certifies that Tom J. Berman (the “Holder”) is entitled to purchase, at a price of $0.55 per share (the “Exercise Price”) subject to adjustment under Section 4 below), from PEN Inc., a Delaware corporation (the “Company”), up to 550,000 fully paid and nonassessable shares (the “Option Shares”) of Cl |
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| July 3, 2019 |
PENC / PEN Inc. / Berman Ronald J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 3 PEN Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 706582 202 (CUSIP Number) Ronald J. Berman 701 Brickell Ave., suite 1550 Miami, Florida 33131 844-273-6462 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| July 3, 2019 |
PENC / PEN Inc. / Berman Tom J. Activist Investment SC 13D/A 1 sc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 3 PEN Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 706582 202 (CUSIP Number) Tom J. Berman 701 Brickell Ave., suite 1550 Miami, Florida 33131 844-273-6462 (Name, Address and Telephone Number of Person Authori |
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| May 29, 2019 |
PENC / PEN Inc. 10-Q - Quarterly Report - 10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2018 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. 1-11602 PEN INC. (Exact name of registrant as speci |
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| May 29, 2019 |
PENC / PEN Inc. 10-Q - Quarterly Report - 10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2018 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. 1-11602 PEN INC. (Exact name of registrant as specified |
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| May 29, 2019 |
Exhibit 4.2 THIS WARRANT AND THE SHARES PURCHASABLE HEREUNDER HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. D |
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| May 29, 2019 |
Exhibit 10.1 FIFTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND LOAN DOCUMENTS THIS FIFTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND LOAN DOCUMENTS (“Amendment”) is entered into as of July 3rd, 2018 (“Effective Date”), between PEN BRANDS LLC, an Ohio limited liability company f/k/a Nanofilm, Ltd. (“Borrower”) and MBANK, a Michigan banking corporation, as assignee of Mackinac Commercial Credit, L |
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| May 29, 2019 |
Exhibit 4.4 THIS OPTION AND THE SHARES PURCHASABLE HEREUNDER HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. Da |
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| May 29, 2019 |
Exhibit 4.3 THIS OPTION AND THE SHARES PURCHASABLE HEREUNDER HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. Da |
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| May 29, 2019 |
Exhibit 4.1 Registration Rights Agreement This is the Registration Rights Agreement by and between PEN Inc., a Delaware corporation (the “Company”) and PEN Comeback LLC, a Michigan limited liability company (“Investor”), dated October 16, 2018. 1. Registrations Rights. If the exercise by the Investor of either the First Round Warrants or the warrants issued under the Warrant Options provides proce |
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| May 29, 2019 |
PENC / PEN Inc. 10-Q - Quarterly Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2018 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| April 9, 2019 |
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): April 3, 2019 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Ident |
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| March 25, 2019 |
PENC / PEN Inc. / Berman Ronald J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 2 PEN Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 706582 202 (CUSIP Number) Ronald J. Berman 701 Brickell Ave., suite 1550 Miami, Florida 33131 844-273-6462 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| February 5, 2019 |
PENC / PEN Inc. / Berman Tom J. Activist Investment SC 13D/A 1 sc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 2 PEN Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 706582 202 (CUSIP Number) Tom J. Berman 701 Brickell Ave., suite 1550 Miami, Florida 33131 844-273-6462 (Name, Address and Telephone Number of Person Authori |
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| February 4, 2019 |
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 31, 2019 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Id |
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| February 4, 2019 |
PEN Inc Announces Debt Pay-off and Sale of Equity Exhibit 99.1 PEN Inc Announces Debt Pay-off and Sale of Equity Miami, Florida, February 4, 2019 – PEN Inc (OTCMKTS: PENC) (“PEN” or the” Company”) announced that it has paid in full the loan from its secured lender. Payment was made using proceeds from the sale of equity. Tom Berman, President of the Company noted: “Becoming debt free was one of my goals when I joined PEN and I am pleased this has |
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| December 13, 2018 |
Letter dated December 10, 2018 from Salberg & Co addressed to the Securities Exchange Commission December 10, 2018 Office of the Chief Accountant Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: PEN Inc. |
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| December 13, 2018 |
Changes in Registrant's Certifying Accountant, Financial Statements and Exhibits 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): December 7, 2018 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Id |
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| October 30, 2018 |
PENC / PEN Inc. / Berman Tom J. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 1 PEN Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 706582 202 (CUSIP Number) Tom J. Berman 701 Brickell Ave., suite 1550 Miami, Florida 33131 844-273-6462 (Name, Address and Telephone Number of Person Authorized to Receive Notices |
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| October 23, 2018 |
PENC / PEN Inc. / Berman Ronald J Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 1 PEN Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 706582 202 (CUSIP Number) Ronald J. Berman 701 Brickell Ave., suite 1550 Miami, Florida 33131 844-273-6462 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| October 18, 2018 |
8-K 1 form8-k.htm 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): October 15, 2018 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) ( |
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| October 18, 2018 |
PEN Inc Announces Sale of Equity and New President Exhibit 99.1 PEN Inc Announces Sale of Equity and New President Miami, Florida, October 18, 2018 – PEN Inc (OTCMKTS: PENC) (“PEN” or the “Company”) announced that it has sold 590,847 shares of its Class A common stock at a price of $0.50 per share for aggregate proceeds of $295,423. In addition, Tom J Berman was appointed as President of the Company and joined its Board of Directors. Dr. Scott Ric |
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| October 18, 2018 |
PENC / PEN Inc. / Rickert Scott E. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 2* PEN Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 706582 202 (CUSIP Number) Scott E. Rickert 701 Brickell Ave., suite 1550 Miami, Florida 33131 844-273-6462 (Name, Address and Telephone Number of Person Authorized to Receive Not |
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| August 10, 2018 |
Entry into a Material Definitive Agreement 8-K 1 form8-k.htm 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): August 8, 2018 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I. |
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| June 15, 2018 |
Exhibit 10.11 FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND LOAN DOCUMENTS THIS FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND LOAN DOCUMENTS (“Amendment”) is entered into as of March 30, 2018 (“Effective Date”), between PEN BRANDS LLC, an Ohio limited liability company f/k/a Nanofilm, Ltd. (“Borrower”) and MBANK, a Michigan banking corporation, as assignee of Mackinac Commercial Credit |
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| June 15, 2018 |
PENC / PEN Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] Annual report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2017; or [ ] Transition report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to COMMISSION FILE NO. 1-11602 PEN Inc. (Exact name of registrant as |
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| June 15, 2018 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of the Registrant PEN Brands LLC Ohio Applied Nanotech, Inc. Delaware |
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| May 18, 2018 |
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): March 17, 2018 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) Iden |
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| May 18, 2018 |
PEN Inc. announces move to OTCMKTS EX-99.1 2 ex99-1.htm Exhibit 99.1 PEN Inc. announces move to OTCMKTS MIAMI, Florida, May 17, 2018– PEN Inc. (OTCMKTS:PENC) announced today that, due to a delay in filing its annual report, PEN is non-compliant under Section 2.2 of the OTCQB Listing Standards. Accordingly, shares of PEN Inc Class A common stock will no longer trade on the OTCQB. Starting Friday, May 18, 2018 the shares will be quot |
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| April 3, 2018 |
Entry into a Material Definitive Agreement 8-K 1 form8-k.htm 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): March 30, 2018 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I. |
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| April 2, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-11602 NOTIFICATION OF LATE FILING CUSIP NUMBER 706582 202 (Check one): [X] Form 10-K [ ] Form 20-F [ ] Form 11-K [ ] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended December 31, 2017 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Repor |
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| November 14, 2017 |
Exhibit 10.1 THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT AND LOAN DOCUMENTS THIS THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT AND LOAN DOCUMENTS (“Amendment”) is entered into as of October 17, 2017 (“Effective Date”), between PEN BRANDS LLC, an Ohio limited liability company f/k/a Nanofilm, Ltd. (“Borrower”) and MACKINAC COMMERCIAL CREDIT ABL DIVISION OF MBANK, a Michigan banking corporation |
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| November 14, 2017 |
PENC / PEN Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2017 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| August 21, 2017 |
PENC / PEN Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2017 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| August 14, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-11602 NOTIFICATION OF LATE FILING CUSIP NUMBER 706582 202 (Check one): [ ] Form 10-K [ ] Form 20-F [ ] Form 11-K [X] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended June 30, 2017 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on |
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| June 2, 2017 |
PENC / PEN Inc. / Carl Zeiss Inc. - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. |
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| June 2, 2017 |
STOCK PURCHASE AND SALE AGREEMENT EX-99.1 Exhibit 1 STOCK PURCHASE AND SALE AGREEMENT This is the Stock Purchase Agreement dated as of May 23, 2017, by and among Carl Zeiss, Inc., a New York corporation (“Seller”) and the purchasers whose signatures appear below (the “Buyers”). Capitalized terms used in this Agreement are used as defined in Section 4. Background: The Seller is the owner of 262,631 shares of Class Z common stock of |
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| May 25, 2017 |
PENC / PEN Inc. / Rickert Scott E. Activist Investment SC 13D/A 1 sc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 1* PEN Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 706582 202 (CUSIP Number) Scott E. Rickert 701 Brickell Ave., suite 1550 Miami, Florida 33131 844-273-6462 (Name, Address and Telephone Number of Person Aut |
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| May 25, 2017 |
PEN 3D/A (Activist Acquisition of More Than 5% of Shares) SC 13D/A 1 formsc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 1 PEN Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 706582 202 (CUSIP Number) Ronald J. Berman 701 Brickell Ave., suite 1550 Miami, Florida 33131 844-273-6462 (Name, Address and Telephone Number of Person |
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| May 22, 2017 |
Exhibit 10.2 AMENDED AND RESTATED REVOLVING CREDIT LOAN NOTE $1,500,000.00 Due Date: The earlier of Demand or April 4, 2018 Dated: April 3, 2017 FOR VALUE RECEIVED, the undersigned (whether one or more in number, ?Borrower?, and if two or more in number, shall be jointly and severally bound), promises to pay to the order of MACKINAC COMMERCIAL CREDIT ABL DIVISION OF MBANK, a Michigan banking corpo |
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| May 22, 2017 |
10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2017 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. 1-11602 PEN INC. (Exact name of registrant as specified |
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| May 22, 2017 |
Exhibit 10.1 SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT (“Amendment”) is entered into as of April 3, 2017 (“Effective Date”), between NANOFILM, LTD., an Ohio limited liability company (“Borrower”) and MACKINAC COMMERCIAL CREDIT ABL DIVISION OF MBANK, a Michigan banking corporation and successor in interest to Mackinac Commercial Credit, LLC |
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| May 15, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-11602 NOTIFICATION OF LATE FILING CUSIP NUMBER 706582 202 (Check one): [ ] Form 10-K [ ] Form 20-F [ ] Form 11-K [X] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended March 31, 2017 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report o |
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| April 4, 2017 |
Entry into a Material Definitive Agreement 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): April 3, 2017 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Ident |
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| March 29, 2017 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of the Registrant Nanofilm, Ltd. Ohio Applied Nanotech, Inc. Delaware |
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| March 29, 2017 |
FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT (?Amendment?) is entered into as of May 1, 2015, but effective as of April 4, 2015 (?Effective Date?), between NANOFILM, LTD. |
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| March 29, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] Annual report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2016; or [ ] Transition report under Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. 1-11602 PEN Inc. (Exact name of registrant as specified in its charter) Delaware |
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| March 6, 2017 |
PENC / PEN Inc. / Berman Ronald J Activist Investment SC 13D 1 sc13d.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 PEN Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 706582 103 (CUSIP Number) Ronald J. Berman 701 Brickell Ave., suite 1550 Miami, Florida 33131 844-273-6462 (Name, Address and Telephone Number of Person Authorized to Receive N |
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| January 13, 2017 |
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 10, 2017 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Id |
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| November 10, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2016 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| August 30, 2016 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 form8-k.htm 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): August 30, 2016 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I |
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| August 30, 2016 |
PEN Inc. Taps Anne Marie Thomas to Lead Marketing and Sales EXHIBIT 99.1 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 expertis |
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| August 19, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2016 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| August 15, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-11602 NOTIFICATION OF LATE FILING CUSIP NUMBER 706582 202 (Check one): [ ] Form 10-K [ ] Form 20-F [ ] Form 11-K [X] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended June 30, 2016 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on |
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| August 15, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-11602 NOTIFICATION OF LATE FILING CUSIP NUMBER 706582 202 (Check one): [ ] Form 10-K [ ] Form 20-F [ ] Form 11-K [X] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended June 30, 2016 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on |
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| June 1, 2016 | ||
| June 1, 2016 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): June 1, 2016 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identi |
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| May 31, 2016 |
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): May 31, 2016 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identi |
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| May 31, 2016 |
DHJH Holdings LLC May 27, 2016 PEN Inc. 701 Brickell Avenue, Suite 1550 Miami, FL 33131 Attn: Dr. Scott E. Rickert Chairman, President & Chief Executive Officer RE: Financial, Accounting, Treasury and Business Development Services Dear Dr. Rickert: This letter agreement (?Agreement?) confirms our mutual understanding regarding the retention of DHJH Holdings LLC (?DHJH?) by PEN Inc. (?PEN? or ?the |
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| May 16, 2016 |
10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2016 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. 1-11602 PEN INC. (Exact name of registrant as specified |
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| March 30, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] Annual report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2015; or [ ] Transition report under Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. 1-11602 PEN Inc. (Exact name of registrant as specified in its charter) Delaware |
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| March 30, 2016 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of the Registrant Nanofilm, Ltd. Ohio Applied Nanotech, Inc. Delaware PEN Technology LLC Florida |
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| March 30, 2016 |
PEN Inc. 2015 EQUITY INCENTIVE PLAN 1. Purpose of the Plan. The purpose of this Plan is to permit equity compensation for those who provide services to the Company and to encourage ownership in the Company by key personnel whose long-term service the Company considers essential to its continued progress and, thereby, encourage recipients to act in the stockholders’ interest and share in the Compan |
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| January 26, 2016 |
CERTIFICATE OF AMENDMENT NO. 1 TO AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF PEN INC. PEN Inc., duly incorporated on February 14, 2014 and existing under the General Corporation Law of the State of Delaware (?DGCL?) does hereby certify that pursuant to Sections 242 and 228 of the DGCL the directors of the Corporation at a meeting duly called and held adopted resolutions declaring an amen |
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| January 26, 2016 |
8-K 1 form8-k.htm 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 26, 2016 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) ( |
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| January 26, 2016 |
PEN Inc. Announces 1-for-180 Reverse Stock Split PEN Inc. Announces 1-for-180 Reverse Stock Split MIAMI, FL—(January 26, 2016) - PEN Inc. (OTCQB: PENC, PENCD) (“PEN” or “the Company”), a global leader in developing, commercializing and marketing enhanced performance products enabled by nanotechnology, today announced a 1-for-180 reverse split of its issued and outstanding shares of common stock. Trading will begin on a post-split basis at the op |
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| December 29, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INFORMATION STATEMENT SCHEDULE 14C INFORMATION (Rule 14c-101) Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: [ ] Preliminary Information Statement [ ] Confidential, For Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) [X] Definitive Information Sta |
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| December 14, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INFORMATION STATEMENT SCHEDULE 14C INFORMATION (Rule 14c-101) Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: [X] Preliminary Information Statement [ ] Confidential, For Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) [ ] Definitive Information Sta |
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| December 7, 2015 |
PEN Inc. 2015 EQUITY INCENTIVE PLAN EXHIBIT 4.3 PEN Inc. 2015 EQUITY INCENTIVE PLAN 1. Purpose of the Plan. The purpose of this Plan is to permit equity compensation for those who provide services to the Company and to encourage ownership in the Company by key personnel whose long-term service the Company considers essential to its continued progress and, thereby, encourage recipients to act in the stockholders’ interest and share i |
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| December 7, 2015 |
As filed with the U.S. Securities and Exchange Commission on December 7, 2015 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 PEN Inc. (Exact name of Registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of (IRS Employee incorporation or organization) Id |
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| December 1, 2015 |
From the desk of Dr. Robert Ronstadt Exhibit 99.1 From the desk of Dr. Robert Ronstadt To: Scott Rickert Re: Resignation from PEN Inc. Board of Directors Dear Scott, Please accept my resignation as a member of PEN Inc.?s board of directors, effective December 1, 2015, assuming this date is acceptable to you. I do so with a strong sense of regret because I have greatly enjoyed my association with you and the other members of PEN?s boa |
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| December 1, 2015 |
PEN (Current Report/Significant Event) 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): December 1, 2015 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Id |
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| November 16, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2015 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| August 12, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2015 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| May 12, 2015 |
Exhibit 1.2 CORPORATE GUARANTY THIS CORPORATE GUARANTY (?Guaranty?), effective as of May 1, 2015, is made by PEN INC., a Delaware corporation (?Guarantor?), whose address is 431 Fairway Drive, Suite 200, Deerfield Beach, FL 33441, to and with MACKINAC COMMERCIAL CREDIT, LLC, a Michigan limited liability company (?Lender?), whose address is 260 E. Brown Street, Birmingham, Michigan 48009. RECITALS: |
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| May 12, 2015 |
Exhibit 1.1 FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT (?Amendment?) is entered into as of May 1, 2015, but effective as of April 4, 2015 (?Effective Date?), between NANOFILM, LTD., an Ohio limited liability company (?Borrower?) and MACKINAC COMMERCIAL CREDIT, LLC, a Michigan limited liability company (together with its successors and assigns |
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| May 12, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2015 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| May 4, 2015 |
PEN (Current Report/Significant Event) 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): May 4, 2015 (May 1, 2015) PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I.R.S. Em |
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| May 4, 2015 |
PEN Inc. launches surface protector, fortifier and cleaner product aimed at creating safe and healthy living HALO? penetrates and fortifies surfaces using materials friendly to the environment May 4, 2015 ? Deerfield Beach, FL ? PEN Inc. (OTCQB: PENC) (PEN) today announced the launch of HALO?, a first-of-its-kind everyday surface care product, a natural mineral protector and fortifier, and also a |
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| April 10, 2015 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of the Registrant Nanofilm, Ltd. Ohio Applied Nanotech, Inc. Delaware |
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| April 10, 2015 |
CODE OF CONDUCT 1. Ethical Conduct This PEN Code of Conduct sets the foundation for the ethical conduct of our business, and it communicates our business philosophy and ethics to all our associates, customers, stockholders and the communities in which we do business. The Code is a resource when questions arise. It is not a rulebook, but a statement how PEN will do business. The PEN Code of Conduct |
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| April 10, 2015 |
NANOFILM LTD. EQUITY CREDIT INCENTIVE PROGRAM (adopted 1997, as amended) The Equity Credit Incentive Program enables selected employees of Nanofilm the opportunity to invest in the Company, with the potential for a return on that investment tied to an increase in the Company revenues over the base year of 1996. It was designed to enable certain employees to share in the growth of the Company witho |
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| April 10, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] Annual report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2014; or [ ] Transition report under Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. 1-11602 PEN Inc. (Exact name of registrant as specified in its charter) Delaware |
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| March 30, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-11602 NOTIFICATION OF LATE FILING CUSIP NUMBER 706582 103 (Check one): [X] Form 10-K [ ] Form 20-F [ ] Form 11-K [ ] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended December 31, 2014 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Repor |
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| February 3, 2015 |
EXHIBIT 99.1 New PEN Inc. surface cleaning product to redefine personal health and safety Entry planned into $50 billion global cleaning market February 3, 2015 – Deerfield Beach, FL – In direct response to the apparent failure of current cleaners and disinfectants to prevent the spread of illness, PEN Inc. (OTCQB: PENC) is developing a new category of cleaning products intended to clean and forti |
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| February 3, 2015 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): February 3, 2015 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I.R.S. Em |
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| January 20, 2015 |
Regulation FD Disclosure, Financial Statements and Exhibits 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 organiz |
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| January 20, 2015 |
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 “Roadb |
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| November 25, 2014 |
1 PEN Inc. 3Q14 Earnings webcast AS PRESENTED November 25, 2014 10 a.m. ET SLIDE 1 WELCOME Lynn Lilly: Good morning, ladies and gentlemen. I would like to welcome everyone to the PEN Inc. Earnings conference call for the quarter ended September 30, 2014. I’m Lynn Lilly, Director of Communication. We have with us today our Chairman and Chief Executive Officer Dr. Scott Rickert, and Chief Accounting |
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| November 25, 2014 | ||
| November 25, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): November 25, 2014 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer I |
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| November 17, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): September 3, 2014 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I.R.S. E |
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| November 17, 2014 |
PEN Inc. Announces Third Quarter Financial Results Investor Conference Call and Business Update Set for November 25, 10 am ET DEERFIELD BEACH, FL-(Marketwired - November 17, 2014) - PEN Inc. (OTCQB: PENC) (PEN) reported Friday the financial results for the quarter ended September 30, 2014. Scott Rickert, PEN’s Chairman and CEO, said, “The historical business of PEN, primarily the sales of our eye |
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| November 14, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q [X] Quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2014 [ ] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 COMMISSION FILE NO. |
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| November 14, 2014 |
REVOLVING CREDIT LOAN RIDER #1 (to Loan and Security Agreement dated as of April 4, 2014) MACKINAC COMMERCIAL CREDIT, LLC (?Lender?) This Revolving Credit Loan Rider and the attached Term Sheet (collectively, the ?Rider?) sets forth the terms upon which Lender will make certain Advances to NANOFILM, LTD. |
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| September 26, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): September 25, 2014 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I.R.S. |
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| September 26, 2014 |
Remarks by Scott Rickert PEN Inc Webcast September 25, 2014 FINAL Lynn Lilly: Good afternoon, ladies and gentlemen, and welcome to the PEN Inc. |
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| September 24, 2014 |
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): September 24, 2014 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer |
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| September 17, 2014 |
PEN Inc. Chairman, Scott Rickert, will webcast a live company update September 25, 1 pm EDT EXHIBIT 99.1 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 |
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| September 17, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): September 3, 2014 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or organization) (I.R.S. E |
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| September 5, 2014 |
PENC / PEN Inc. / Rickert Scott E. - FORM SC13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* PEN Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 706582 103 (CUSIP Number) Scott E. Rickert 431 Fairway Dr., Suite 200 Deerfield Beach, FL 33441 844-736-6266 (Name, Address and Telephone Number of Person Authorized to Receive |
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| September 5, 2014 |
PENC / PEN Inc. / Carl Zeiss Inc. - SC 13D Activist Investment SC 13D SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. |
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| September 3, 2014 |
PEN Inc. announces new trading symbol: PENC Stock continues trading on the OTCQB PEN Inc. announces new trading symbol: PENC Stock continues trading on the OTCQB Deerfield Beach, FL – September 3, 2014 – PEN Inc. (OTCQB: PENC) (PEN) today announced that, effective immediately, the company will trade on the OTCQB exchange under the trading symbol PENC. The new symbol reflects the name of PEN Inc., the new company created by the combination of Applied Nanotech Holdings, Inc. and |
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| September 3, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 form8k.htm CURRENT REPORT 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): September 3, 2014 PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of incorporation or |
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| September 2, 2014 |
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): September 2, 2014 (August 27, 2014) PEN INC. (Exact name of registrant as specified in its charter) Delaware 47-1598792 (State or other jurisdiction of (I.R.S. Employer incor |
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| September 2, 2014 |
Applied Nanotech Holdings, Inc and NanoHoldings Inc. complete combination to create PEN Inc. New company to focus on commercialization of advanced nanotechnology-enabled products Scott Rickert is Chairman and CEO Deerfield Beach, FL – September 2, 2014 – PEN Inc. (OTCQB: APNT) (PEN) today confirmed the closing of the previously announced combination of Applied Nanotech Holdings, Inc. (Applied Nano |
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| September 2, 2014 |
EX-16.1 3 ex16-1.htm EXHIBIT 16.1 Exhibit 16.1 |
