Filing Details
- Accession Number:
- 0001321732-18-000118
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-08-31 20:22:42
- Reporting Period:
- 2018-08-29
- Accepted Time:
- 2018-08-31 20:22:42
- 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 | 2018-08-29 | 629 | $22.04 | 16,296 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-29 | 629 | $135.00 | 15,667 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-08-30 | 2,371 | $22.04 | 18,038 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-30 | 2,371 | $135.10 | 15,667 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 | 2018-08-29 | 629 | $0.00 | 629 | $22.04 |
| Common Stock | Stock Option (right to buy) | Disposition | 2018-08-30 | 2,371 | $0.00 | 2,371 | $22.04 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 15,242 | 2025-08-11 | No | 4 | M | Direct | |
| 12,871 | 2025-08-11 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 152,296 | Indirect | By Trust |
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 $135.00 to $135.35. 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.
- 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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