Filing Details
- Accession Number:
- 0001321732-18-000042
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-03-05 21:06:57
- Reporting Period:
- 2018-01-02
- Accepted Time:
- 2018-03-05 21:06:57
- 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 | 2018-01-02 | 5,000 | $22.04 | 12,225 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-03-01 | 5,000 | $22.04 | 17,225 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-03-01 | 1,300 | $107.55 | 15,925 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-03-01 | 2,678 | $108.40 | 13,247 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-03-01 | 822 | $109.58 | 12,425 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2018-03-01 | 200 | $110.00 | 12,225 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| 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 | 2018-01-02 | 5,000 | $0.00 | 5,000 | $22.04 |
| Common Stock | Stock Option (right to buy) | Disposition | 2018-03-01 | 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 |
|---|---|---|---|---|---|---|
| 30,834 | 2025-08-11 | No | 4 | M | Direct | |
| 25,834 | 2025-08-11 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 170,775 | Indirect | By Trust |
Footnotes
- The totals in column 5 have been adjusted from prior reports to accurately reflect certain transactions as involving directly owned shares, which were previously reported as having involved indirectly owned shares.
- This option exercise was omitted from the prior Form 4 as a result of an administrative error by the company's external share administrator. The shares underlying the option were sold as previously reported in the Form 4 dated January 4, 2018.
- 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 $106.95 to $107.85. 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 $108.00 to $108.95. 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 $109.00 to $109.95. 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 totals in column 5 have been adjusted from prior reports to accurately reflect certain transactions as involving indirectly owned shares, which were previously reported as having involved directly owned shares.
- Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010.
- Option grant vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter.
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