Filing Details
- Accession Number:
- 0001321732-17-000036
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-06 20:59:22
- Reporting Period:
- 2017-02-02
- Filing Date:
- 2017-02-06
- Accepted Time:
- 2017-02-06 20:59:22
- 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 | 2017-02-02 | 4,500 | $1.26 | 1,240,338 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-02 | 2,776 | $69.80 | 1,237,562 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-02-02 | 1,724 | $70.53 | 1,235,838 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-02-03 | 8,000 | $1.26 | 1,243,838 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-03 | 2,500 | $69.77 | 1,241,338 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-02-03 | 5,500 | $70.61 | 1,235,838 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-02-06 | 4,600 | $1.26 | 1,240,438 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-06 | 2,200 | $69.01 | 1,238,238 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-02-06 | 2,400 | $69.63 | 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 | 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 | 2017-02-02 | 4,500 | $0.00 | 4,500 | $1.26 |
| Common Stock | Stock Option (right to buy) | Disposition | 2017-02-03 | 8,000 | $0.00 | 8,000 | $1.26 |
| Common Stock | Stock Option (right to buy) | Disposition | 2017-02-06 | 4,600 | $0.00 | 4,600 | $1.26 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 42,600 | 2017-09-30 | No | 4 | M | Direct | |
| 34,600 | 2017-09-30 | No | 4 | M | Direct | |
| 30,000 | 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 $69.25 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.
- This transaction was executed in multiple trades at prices ranging from $70.25 to $70.80. 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 $69.20 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 $70.20 to $71.00. 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.
- This transaction was executed in multiple trades at prices ranging from $68.45 to $69.40. 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 $69.45 to $70.00. 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 Siegel/Elsesser Revocable Trust.
- All shares are vested and exercisable.
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