Filing Details
- Accession Number:
- 0001321732-16-000049
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-29 20:53:14
- Reporting Period:
- 2016-08-25
- Filing Date:
- 2016-08-29
- Accepted Time:
- 2016-08-29 20:53:14
- 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 |
|---|---|---|---|---|---|---|---|
| 1651323 | Adam Elsesser | One Penumbra Place Alameda CA 94502 | Chairman, Ceo And President | 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 | 2016-08-25 | 8,800 | $1.26 | 1,244,638 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-25 | 7,360 | $70.52 | 1,237,278 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-08-25 | 1,440 | $70.86 | 1,235,838 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-08-26 | 18,000 | $1.26 | 1,253,838 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-08-26 | 6,700 | $70.82 | 1,247,138 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-08-26 | 11,300 | $71.59 | 1,235,838 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2016-08-25 | 8,800 | $0.00 | 8,800 | $1.26 |
| Common Stock | Stock Option (right to buy) | Disposition | 2016-08-26 | 18,000 | $0.00 | 18,000 | $1.26 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 162,200 | 2017-04-30 | No | 4 | M | Direct | |
| 144,200 | 2017-04-30 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 14,144 | 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 $69.73 to $70.71. 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 $70.73 to $71.10. 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 $70.36 to $71.34. 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 $71.36 to $71.99. 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 Siegel/Elsesser Revocable Trust.
- All shares are vested and exercisable.
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