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Filing Details

Accession Number:: 0001321732-20-000015
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-02-03 20:22:45
Reporting Period:: 2020-01-30

Accepted Time:: 2020-02-03 20:22:45
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2020-01-30	10,000	$3.98	22,332	No	4	M	Direct
Common Stock	Disposition	2020-01-30	3,842	$175.10	18,490	No	4	S	Direct
Common Stock	Disposition	2020-01-30	4,159	$176.04	14,331	No	4	S	Direct
Common Stock	Disposition	2020-01-30	500	$176.75	13,831	No	4	S	Direct
Common Stock	Disposition	2020-01-30	1,399	$177.99	12,432	No	4	S	Direct
Common Stock	Disposition	2020-01-30	100	$178.40	12,332	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (right to buy)	Disposition	2020-01-30	10,000	$0.00	10,000	$3.98

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
35,180		2021-06-12	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	104,807	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 $174.40 to $175.38. 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 $175.49 to $176.39. 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 $176.48 to $177.25. 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 $177.54 to $178.34. 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.
Trust of Richard E. Koch and Lynn D. Rothman.
All shares are vested and exercisable.