Filing Details
- Accession Number:
- 0001321732-16-000039
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-24 21:54:23
- Reporting Period:
- 2016-08-22
- Filing Date:
- 2016-08-24
- Accepted Time:
- 2016-08-24 21:54:23
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1321732 | Penumbra Inc | PEN | Surgical & Medical Instruments & Apparatus (3841) | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1651318 | Arani Bose | One Penumbra Place Alameda CA 94502 | Chief Innovator | Yes | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2016-08-22 | 10,100 | $1.26 | 742,291 | No | 4 | M | Direct | |
Common Stock | Disposition | 2016-08-22 | 8,100 | $72.97 | 734,191 | No | 4 | S | Direct | |
Common Stock | Disposition | 2016-08-22 | 2,000 | $73.48 | 732,191 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2016-08-23 | 10,000 | $1.26 | 742,191 | No | 4 | M | Direct | |
Common Stock | Disposition | 2016-08-23 | 7,800 | $72.75 | 734,391 | No | 4 | S | Direct | |
Common Stock | Disposition | 2016-08-23 | 2,200 | $73.50 | 732,191 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2016-08-24 | 8,900 | $1.26 | 741,091 | No | 4 | M | Direct | |
Common Stock | Disposition | 2016-08-24 | 316 | $70.82 | 740,775 | No | 4 | S | Direct | |
Common Stock | Disposition | 2016-08-24 | 1,000 | $72.16 | 739,775 | No | 4 | S | Direct | |
Common Stock | Disposition | 2016-08-24 | 7,484 | $73.03 | 732,291 | No | 4 | S | Direct | |
Common Stock | Disposition | 2016-08-24 | 100 | $73.59 | 732,191 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option (right to buy) | Disposition | 2016-08-22 | 10,100 | $0.00 | 10,100 | $1.26 |
Common Stock | Stock Option (right to buy) | Disposition | 2016-08-23 | 10,000 | $0.00 | 10,000 | $1.26 |
Common Stock | Stock Option (right to buy) | Disposition | 2016-08-24 | 8,900 | $0.00 | 8,900 | $1.26 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
189,900 | 2017-04-30 | No | 4 | M | Direct | |
179,900 | 2017-04-30 | No | 4 | M | Direct | |
171,000 | 2017-04-30 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 250,000 | Indirect | By Trust |
Common Stock | 250,000 | Indirect | By Trust |
Footnotes
- The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
- This transaction was executed in multiple trades at prices ranging from $72.41 to $73.40. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- This transaction was executed in multiple trades at prices ranging from $73.41 to $73.62. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- This transaction was executed in multiple trades at prices ranging from $72.33 to $73.32. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- This transaction was executed in multiple trades at prices ranging from $73.33 to $73.54. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provideupon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- This transaction was executed in multiple trades at prices ranging from $70.53 to $71.01. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- This transaction was executed in multiple trades at prices ranging from $71.76 to $72.52. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- This transaction was executed in multiple trades at prices ranging from $72.55 to $73.30. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- Shares are held by the Arani Bose 2009 Family Trust.
- Shares are held by the Shumita Bose 2009 Family Trust.
- All shares are vested and exercisable.