Filing Details
- Accession Number:
- 0001321732-18-000108
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-08-22 19:20:36
- Reporting Period:
- 2018-08-20
- Accepted Time:
- 2018-08-22 19:20:36
- 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 | 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 | 2018-08-20 | 7,500 | $12.36 | 72,787 | No | 4 | M | Direct | |
Common Stock | Disposition | 2018-08-20 | 7,465 | $125.04 | 65,322 | No | 4 | S | Direct | |
Common Stock | Disposition | 2018-08-20 | 35 | $126.55 | 65,287 | 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 |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option (right to buy) | Disposition | 2018-08-20 | 7,500 | $0.00 | 7,500 | $12.36 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
117,817 | 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 $125.00 to $125.35. 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.