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Filing Details

Accession Number:: 0001321732-17-000049
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-02-09 19:42:14
Reporting Period:: 2017-02-07

Filing Date:: 2017-02-09
Accepted Time:: 2017-02-09 19:42:14
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

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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	2017-02-07	4,000	$1.26	1,239,838	No	4	M	Direct
Common Stock	Disposition	2017-02-07	3,046	$68.98	1,236,792	No	4	S	Direct
Common Stock	Disposition	2017-02-07	954	$69.44	1,235,838	No	4	S	Direct
Common Stock	Acquisiton	2017-02-08	9,300	$1.26	1,245,138	No	4	M	Direct
Common Stock	Disposition	2017-02-08	1,709	$68.60	1,243,429	No	4	S	Direct
Common Stock	Disposition	2017-02-08	4,071	$69.81	1,239,358	No	4	S	Direct
Common Stock	Disposition	2017-02-08	3,520	$70.17	1,235,838	No	4	S	Direct
Common Stock	Acquisiton	2017-02-09	9,000	$1.26	1,244,838	No	4	M	Direct
Common Stock	Disposition	2017-02-09	100	$68.95	1,244,738	No	4	S	Direct
Common Stock	Disposition	2017-02-09	1,200	$70.35	1,243,538	No	4	S	Direct
Common Stock	Disposition	2017-02-09	1,300	$71.59	1,242,238	No	4	S	Direct
Common Stock	Disposition	2017-02-09	6,400	$72.14	1,235,838	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
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	2017-02-07	4,000	$0.00	4,000	$1.26
Common Stock	Stock Option (right to buy)	Disposition	2017-02-08	9,300	$0.00	9,300	$1.26
Common Stock	Stock Option (right to buy)	Disposition	2017-02-09	9,000	$0.00	9,000	$1.26

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
26,000	2017-09-30	No	4	M	Direct
16,700	2017-09-30	No	4	M	Direct
7,700	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 $68.25 to $69.20. 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 $69.25 to $69.75. 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 $68.10 to $69.05. 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.
This transaction was executed in multiple trades at prices ranging from $69.10 to $70.08. 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 $70.10 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.
This transaction was executed in multiple trades at prices ranging from $70.00 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 $71.05 to $71.90. 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 $71.95 to $72.30. 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.
Shares are held by the Siegel/Elsesser Revocable Trust.
All shares are vested and exercisable.