Filing Details
- Accession Number:
- 0001321732-17-000138
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-08-03 18:00:52
- Reporting Period:
- 2017-08-01
- Filing Date:
- 2017-08-03
- Accepted Time:
- 2017-08-03 18:00:52
- 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 | See Remarks | 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 | 2017-08-01 | 30,559 | $12.36 | 74,500 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-08-01 | 6,850 | $78.31 | 67,650 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-08-01 | 14,433 | $79.22 | 53,217 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-08-01 | 7,954 | $80.19 | 45,263 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-08-01 | 2,763 | $80.98 | 42,500 | 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 | 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 | 2017-08-01 | 30,559 | $0.00 | 30,559 | $12.36 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 160,817 | 2025-03-22 | No | 4 | M | Direct |
Footnotes
- A portion of these shares is subject to vesting.
- 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 $77.75 to $78.70. 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 $78.75 to $79.70. 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 $79.75 to $80.70. 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 $80.75 to $81.60. 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.
- The original option grant vests over four years, with 25% of the options vesting on January 26, 2016 and 1/48 vesting each month thereafter.
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