Filing Details
- Accession Number:
- 0001321732-17-000112
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-04-26 18:14:46
- Reporting Period:
- 2017-04-24
- Filing Date:
- 2017-04-26
- Accepted Time:
- 2017-04-26 18:14:46
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1321732 | Penumbra Inc | PEN | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1173733 | D. Robert Evans | One Penumbra Place Alameda CA 94502 | Evp, Gen. Counsel & Secretary | No | 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 | 2017-04-24 | 5,000 | $22.04 | 12,075 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-04-24 | 5,000 | $85.24 | 7,075 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-04-24 | 5,000 | $85.24 | 241,296 | No | 4 | S | Indirect | By Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Indirect | By Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2017-04-24 | 5,000 | $0.00 | 5,000 | $22.04 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 40,463 | 2025-08-11 | 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 $85.00 to $85.68. 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 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010.
- Option vests over four years, with 25% of the option vesting on August 1, 2016 and 1/48 vesting each month thereafter.
Billionaire Hedge Funds
