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Filing Details

Accession Number:: 0001321732-19-000098
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-08-21 20:30:19
Reporting Period:: 2019-08-19

Accepted Time:: 2019-08-21 20:30:19
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
1651317	Lynn Rothman	One Penumbra Place Alameda CA 94502	Evp And Chief Business Officer	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2019-08-19	1,482	$143.16	123,325	No	4	S	Indirect	By Trust
Common Stock	Disposition	2019-08-19	734	$144.63	122,591	No	4	S	Indirect	By Trust
Common Stock	Disposition	2019-08-19	2,284	$145.24	120,307	No	4	S	Indirect	By Trust
Common Stock	Disposition	2019-08-19	200	$145.99	120,107	No	4	S	Indirect	By Trust
Common Stock	Disposition	2019-08-19	300	$146.90	119,807	No	4	S	Indirect	By Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	By Trust
No	4	S	Indirect	By Trust
No	4	S	Indirect	By Trust
No	4	S	Indirect	By Trust
No	4	S	Indirect	By Trust

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	12,012	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 $142.85 to $143.43. 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.
Any changes between direct holdings and indirect holdings through the Richard Koch and Lynn D. Rothman Trust are in transactions exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934 as mere changes in form of beneficial ownership.
Trust of Richard E. Koch and Lynn D. Rothman
This transaction was executed in multiple trades at prices ranging from $144.18 to $144.79. 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 $144.98 to $145.75. 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 $145.88 to $146.10. 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.