-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, MNqr22Ftho8KkMqOW+HUHBYIc8GvNwoTtBNyK/WpKDOk4Hh7oNZp6EAkDfnuZ6xG 8ZVdDAWqM1+jFqlwYgYD3Q== 0001088127-00-000010.txt : 20000110 0001088127-00-000010.hdr.sgml : 20000110 ACCESSION NUMBER: 0001088127-00-000010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991021 FILED AS OF DATE: 20000107 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PENTECH INTERNATIONAL INC CENTRAL INDEX KEY: 0000760461 STANDARD INDUSTRIAL CLASSIFICATION: PENS, PENCILS & OTHER ARTISTS' MATERIALS [3950] IRS NUMBER: 232259391 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-15374 FILM NUMBER: 502962 BUSINESS ADDRESS: STREET 1: 195 CARTER DRIVE CITY: EDISON STATE: NJ ZIP: 08817 BUSINESS PHONE: 9082876640 MAIL ADDRESS: STREET 2: 195 CARTER DR CITY: EDISON STATE: NJ ZIP: 08817 COMPANY DATA: COMPANY CONFORMED NAME: SAN FILIPPO JIM CENTRAL INDEX KEY: 0001099203 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: PENLICH INTERNATIONAL INC STREET 2: 195 CENTER DRIVE CITY: EDISON STATE: NJ ZIP: 08817 MAIL ADDRESS: STREET 1: PENLEIH INTERNATIOANL INC STREET 2: 195 CENTER DRIVE CITY: EDISON STATE: NJ ZIP: 08817 4 1 FORM 3 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 1. Name and Address of Reporting Person: San Filippo James (Last) (First) (Middle) 195 Carter Drive Edison NJ 08817 (Street) (City) (State) (Zip) 2. Date of Event Requiring Statement: 10/21/99 (Month/Day/Year) 3. IRS or Social Security Number of Reporting Person (Voluntary): 4. Issuer Name and Ticker or Trading Symbol: Pentech International Inc./PNTK 5. Relationship of Reporting Person to Issuer (Check all applicable): Director 10% Owner X Officer (give title below) Other (Specify below) Vice President-Finance 6. If Amendment, Date of Original: (Month/Day/Year) Table I - Non-Derivative Securities Beneficially Owned: 1. Title of Security: Common Stock 2. Amount of Securities Beneficially Owned: 29,214* 3. Ownership Form-Direct (D) or Indirect (I): D 4. Nature of Indirect Beneficial Ownership: Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities): 1. Title of Derivative Security: Common Stock Common Stock Common Stock 2. Date Exercisable and Expiration Date (Month/Day/Year): 8/5/99 8/5/03 3/3/00 3/3/03 3/19/98 3/19/02 (Date Exercisable) (Expiration Date) 3. Title and Amount of Securities Underlying Derivative Security: Common Stock 10,000 Common Stock 10,000 Common Stock 5,000 (Title) (Amount of Number of Shares) 4. Conversion or Exercise Price of Derivative Security: $1.50 $.875 $1.4375 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I): D D D 6. Nature of Indirect Beneficial Ownership: Explanation of Responses: * Includes options to purchase 25,000 shares of Common Stock of Pentech International Inc. ("Common Shares") whether or not presently exercisable. Also includes 4,214 Common Shares held in Mr. San Filippo's 401(K) Plan which is 60% vested. s/James San Filippo 1/4/00 Signature of Reporting Person Date N:\ANNE\MISC\FORM-3.JSF -----END PRIVACY-ENHANCED MESSAGE-----