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Filing Details

Accession Number:: 0001321732-17-000008
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-01-27 20:22:08
Reporting Period:: 2017-01-25

Filing Date:: 2017-01-27
Accepted Time:: 2017-01-27 20:22:08
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2017-01-25	16,500	$1.26	748,691	No	4	M	Direct
Common Stock	Disposition	2017-01-25	11,793	$75.02	736,898	No	4	S	Direct
Common Stock	Disposition	2017-01-25	4,707	$75.68	732,191	No	4	S	Direct
Common Stock	Acquisiton	2017-01-26	9,500	$1.26	741,691	No	4	M	Direct
Common Stock	Disposition	2017-01-26	5,981	$72.85	735,710	No	4	S	Direct
Common Stock	Disposition	2017-01-26	3,416	$73.70	732,294	No	4	S	Direct
Common Stock	Disposition	2017-01-26	103	$75.04	732,191	No	4	S	Direct
Common Stock	Acquisiton	2017-01-27	5,500	$1.26	737,691	No	4	M	Direct
Common Stock	Disposition	2017-01-27	4,715	$72.37	732,976	No	4	S	Direct
Common Stock	Disposition	2017-01-27	785	$73.32	732,191	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
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	M	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (right to buy)	Disposition	2017-01-25	16,500	$0.00	16,500	$1.26
Common Stock	Stock Option (right to buy)	Disposition	2017-01-26	9,500	$0.00	9,500	$1.26
Common Stock	Stock Option (right to buy)	Disposition	2017-01-27	5,500	$0.00	5,500	$1.26

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
83,500	2017-09-30	No	4	M	Direct
74,000	2017-09-30	No	4	M	Direct
68,500	2017-09-30	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 $74.45 to $75.43. 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 $75.45 to $75.90. 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 $72.40 to $73.35. 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 $73.45 to $74.30. 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.
This transaction was executed in multiple trades at prices ranging from $74.65 to $75.05. 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.
These transactions occurred prior to the date on which the Reporting Person became subject to Section 16 and were reflected on the Reporting Person's Form 3.
This transaction was executed in multiple trades at prices ranging from $72.05 to $72.95. 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 $73.15 to $73.70. 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.