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Filing Details

Accession Number:: 0001321732-17-000051
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-02-09 19:43:36
Reporting Period:: 2017-02-07

Filing Date:: 2017-02-09
Accepted Time:: 2017-02-09 19:43:36
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
1651322	Donen Daniel Davis	One Penumbra Place Alameda CA 94502	President, North America	No	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	Disposition	2017-02-07	1,000	$68.90	44,241	No	4	S	Direct
Common Stock	Disposition	2017-02-07	300	$69.58	43,941	No	4	S	Direct
Common Stock	Acquisiton	2017-02-08	3,624	$12.36	47,565	No	4	M	Direct
Common Stock	Disposition	2017-02-08	700	$68.64	46,865	No	4	S	Direct
Common Stock	Disposition	2017-02-08	2,157	$69.86	44,708	No	4	S	Direct
Common Stock	Disposition	2017-02-08	767	$70.17	43,941	No	4	S	Direct
Common Stock	Acquisiton	2017-02-09	2,800	$12.36	46,741	No	4	M	Direct
Common Stock	Disposition	2017-02-09	200	$69.55	46,541	No	4	S	Direct
Common Stock	Disposition	2017-02-09	300	$70.62	46,241	No	4	S	Direct
Common Stock	Disposition	2017-02-09	1,099	$71.89	45,142	No	4	S	Direct
Common Stock	Disposition	2017-02-09	1,201	$72.17	43,941	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
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	2017-02-08	3,624	$0.00	3,624	$12.36
Common Stock	Stock Option (right to buy)	Disposition	2017-02-09	2,800	$0.00	2,800	$12.36

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
196,376		2025-03-22	No	4	M	Direct
193,576		2025-03-22	No	4	M	Direct

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 $68.35 to $69.25. 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.
A portion of these shares is subject to vesting.
This transaction was executed in multiple trades at prices ranging from $69.45 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 $68.15 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 $69.15 to $70.13. 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 $70.15 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 $69.10 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.
This transaction was executed in multiple trades at prices ranging from $70.40 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 $71.60 to $72.05. 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 $72.10 to $72.25. 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.
The original option grant vests over four years, with 25% of the shares vesting on January 26, 2016 and 1/48 vesting each month thereafter.