Filing Details
- Accession Number:
- 0001321732-17-000012
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-01-27 20:26:46
- Reporting Period:
- 2017-01-25
- Filing Date:
- 2017-01-27
- Accepted Time:
- 2017-01-27 20:26:46
- 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 | 2017-01-25 | 16,500 | $1.26 | 1,252,338 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-01-25 | 10,498 | $74.99 | 1,241,840 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-01-25 | 6,002 | $75.61 | 1,235,838 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-01-26 | 9,500 | $1.26 | 1,245,338 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-01-26 | 5,802 | $72.85 | 1,239,536 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-01-26 | 3,598 | $73.68 | 1,235,938 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-01-26 | 100 | $75.05 | 1,235,838 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-01-27 | 5,500 | $1.26 | 1,241,338 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-01-27 | 4,900 | $72.38 | 1,236,438 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-01-27 | 600 | $73.36 | 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 | |
| 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 | 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 | Exercise Date | 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 | 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 $74.25 to $75.20. 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.
- This transaction was executed in multiple trades at prices ranging from $75.25 to $75.90. 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 $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 $74.35. 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 $71.95 to $72.90. 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 $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 Siegel/Elsesser Revocable Trust.
- All shares are vested and exercisable.
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