Just saw a new SEC Form 3 for Richard Fink, President of Applied Nanotech, as an Initial Statement of Beneficial Ownership of Securities. (Sorry for the Unformatted Document). It appears they have a plan and are executing on it ...
SEC Form 3
FORM 3 UNITED STATES 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
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Fink Richard Lee
(Last) (First) (Middle)
750 DENISON COURT
(Street)
BLOOMFIELD HILLS MI 48302
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/13/2020 3. Issuer Name and Ticker or Trading Symbol
Nano Magic Inc. [ NMGX ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Pres of sub Applied Nanotech
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Class A common stock 17,500 D
Class A common stock 12,570 I Note(1)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Option 01/28/2011 01/28/2021 Class A common stock 978 79.2 D
Option 02/02/2012 02/02/2022 Class A common stock 42 61.2 D
Option 04/13/2012 04/13/2022 Class A common stock 42 41.4 D
Warrant 09/06/2019 03/25/2024 Class A common stock 15,348 1.5 I Note(2)
Explanation of Responses:
1. held indirectly as a result of an investment in LLC that owns Class A common stock
2. held indirectly as a result of investment in LLC
/s/ Richard Fink 05/14/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
