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Filing Details

Accession Number:: 0001321732-21-000068
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-08-12 20:03:29
Reporting Period:: 2021-08-10

Accepted Time:: 2021-08-12 20:03:29
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
Common Stock	Acquisiton	2021-08-10	5,300	$22.04	37,937	No	4	M	Direct
Common Stock	Disposition	2021-08-10	542	$258.43	37,395	No	4	S	Direct
Common Stock	Disposition	2021-08-10	309	$259.43	37,086	No	4	S	Direct
Common Stock	Disposition	2021-08-10	300	$260.50	36,786	No	4	S	Direct
Common Stock	Disposition	2021-08-10	300	$261.43	36,486	No	4	S	Direct
Common Stock	Disposition	2021-08-10	100	$262.70	36,386	No	4	S	Direct
Common Stock	Disposition	2021-08-10	300	$263.40	36,086	No	4	S	Direct
Common Stock	Disposition	2021-08-10	549	$264.35	35,537	No	4	S	Direct
Common Stock	Disposition	2021-08-10	100	$265.04	35,437	No	4	S	Direct
Common Stock	Disposition	2021-08-10	500	$266.58	34,937	No	4	S	Direct
Common Stock	Disposition	2021-08-10	300	$268.27	34,637	No	4	S	Direct
Common Stock	Disposition	2021-08-10	600	$269.29	34,037	No	4	S	Direct
Common Stock	Disposition	2021-08-10	400	$270.18	33,637	No	4	S	Direct
Common Stock	Disposition	2021-08-10	400	$271.34	33,237	No	4	S	Direct
Common Stock	Disposition	2021-08-10	300	$272.06	32,937	No	4	S	Direct
Common Stock	Disposition	2021-08-10	200	$273.45	32,737	No	4	S	Direct
Common Stock	Disposition	2021-08-10	100	$275.28	32,637	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
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	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	2021-08-10	5,300	$0.00	5,300	$22.04

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
44,700		2025-08-11	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 $257.98 to $258.84. 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 $259.10 to $259.88. 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 $260.00 to $260.86. 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 $261.08 to $261.92. 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 $263.22 to $263.70. 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 $264.18 to $264.64. 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 $266.20 to $266.89. 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 $268.02 to $268.49. 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 $269.00 to $269.58. 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 $270.00 to $270.59. 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 $271.21 to $271.43. 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 $272.00 to $272.19. 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 $272.99 to $273.90. 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.