Filing Details
- Accession Number:
- 0001321732-21-000088
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-10-05 20:17:09
- Reporting Period:
- 2021-10-01
- Accepted Time:
- 2021-10-05 20:17:09
- 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 | 2021-10-01 | 5,300 | $22.04 | 37,937 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-10-01 | 400 | $259.03 | 37,537 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-10-01 | 600 | $260.23 | 36,937 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-10-01 | 1,281 | $261.05 | 35,656 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-10-01 | 1,758 | $262.10 | 33,898 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-10-01 | 1,061 | $262.97 | 32,837 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-10-01 | 100 | $263.64 | 32,737 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-10-01 | 100 | $267.06 | 32,637 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2021-10-01 | 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 |
|---|---|---|---|---|---|---|
| 34,100 | 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 $258.63 to $259.55. 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 $259.74 to $260.52. 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 $260.67 to $261.54. 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 $261.79 to $262.53. 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 $262.63 to $263.61. 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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