Filing Details
- Accession Number:
- 0001321732-16-000051
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-29 20:56:35
- Reporting Period:
- 2016-08-25
- Filing Date:
- 2016-08-29
- Accepted Time:
- 2016-08-29 20:56:35
- 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 | 2016-08-25 | 8,800 | $1.26 | 740,991 | No | 4 | M | Direct | |
Common Stock | Disposition | 2016-08-25 | 5,254 | $70.44 | 735,737 | No | 4 | S | Direct | |
Common Stock | Disposition | 2016-08-25 | 3,546 | $70.75 | 732,191 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2016-08-26 | 18,000 | $1.26 | 750,191 | No | 4 | M | Direct | |
Common Stock | Disposition | 2016-08-26 | 8,100 | $70.93 | 742,091 | No | 4 | S | Direct | |
Common Stock | Disposition | 2016-08-26 | 9,900 | $71.63 | 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 |
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 | 0 | $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 | 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 $69.64 to $70.63. 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 $70.64 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 $70.43 to $71.42. 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 $71.43 to $72.00. 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.