Filing Details
- Accession Number:
- 0001321732-20-000108
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-07-21 21:42:13
- Reporting Period:
- 2020-07-17
- Accepted Time:
- 2020-07-21 21:42:13
- 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
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-07-17 | 4,800 | $3.98 | 17,132 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-07-17 | 4,800 | $195.12 | 12,332 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-07-20 | 4,875 | $3.98 | 17,207 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-07-20 | 4,875 | $200.07 | 12,332 | 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 | 2020-07-17 | 4,800 | $0.00 | 4,800 | $3.98 |
| Common Stock | Stock Option (right to buy) | Disposition | 2020-07-20 | 4,875 | $0.00 | 4,875 | $3.98 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 25,180 | 2021-06-12 | No | 4 | M | Direct | |
| 20,305 | 2021-06-12 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 101,807 | 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 $195.00 to $195.44. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, 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 $200.00 to $200.23. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.
- Shares are held by the Trust of Richard E. Koch and Lynn D. Rothman.
- All shares are vested and exercisable.
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