Filing Details

Accession Number:
0001321732-16-000067
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-09-06 21:13:58
Reporting Period:
2016-09-01
Filing Date:
2016-09-06
Accepted Time:
2016-09-06 21:13:58
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 2016-09-01 10,700 $1.26 742,891 No 4 M Direct
Common Stock Disposition 2016-09-01 10,000 $69.84 732,891 No 4 S Direct
Common Stock Disposition 2016-09-01 700 $70.24 732,191 No 4 S Direct
Common Stock Acquisiton 2016-09-02 15,300 $1.26 747,491 No 4 M Direct
Common Stock Disposition 2016-09-02 15,300 $70.42 732,191 No 4 S Direct
Common Stock Acquisiton 2016-09-06 35,000 $1.26 767,191 No 4 M Direct
Common Stock Disposition 2016-09-06 10,344 $70.81 756,847 No 4 S Direct
Common Stock Disposition 2016-09-06 24,656 $71.23 732,191 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 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 2016-09-01 10,700 $0.00 10,700 $1.26
Common Stock Stock Option (right to buy) Disposition 2016-09-02 15,300 $0.00 15,300 $1.26
Common Stock Stock Option (right to buy) Disposition 2016-09-06 35,000 $0.00 35,000 $1.26
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
107,500 2017-04-30 No 4 M Direct
92,200 2017-04-30 No 4 M Direct
57,200 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
  1. The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
  2. This transaction was executed in multiple trades at prices ranging from $69.21 to $70.20. 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.
  3. This transaction was executed in multiple trades at prices ranging from $70.22 to $70.25. 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.
  4. This transaction was executed in multiple trades at prices ranging from $69.97 to $70.68. 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.
  5. This transaction was executed in multiple trades at prices ranging from $70.04 to $71.03. 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.
  6. This transaction was executed in multiple trades at prices ranging from $71.04 to $71.37. 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.
  7. Shares are held by the Arani Bose 2009 Family Trust.
  8. Shares are held by the Shumita Bose 2009 Family Trust.
  9. All shares are vested and exercisable.