Filing Details
- Accession Number:
- 0001321732-21-000110
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-10 19:41:51
- Reporting Period:
- 2021-11-08
- Accepted Time:
- 2021-11-10 19:41:51
- 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 |
|---|---|---|---|---|---|---|---|
| 1751980 | Johanna Roberts | One Penumbra Place Alameda CA 94502 | Evp, Gen. Counsel & Secretary | 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 | 2021-11-08 | 2,500 | $22.04 | 53,824 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-11-08 | 788 | $275.11 | 53,036 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-08 | 212 | $276.64 | 52,824 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-08 | 200 | $279.52 | 52,624 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-08 | 200 | $280.56 | 52,424 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-08 | 500 | $281.43 | 51,924 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-08 | 300 | $282.48 | 51,624 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-08 | 200 | $283.45 | 51,424 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-08 | 100 | $284.37 | 51,324 | 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 | |
| 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 | 2021-11-08 | 2,500 | $0.00 | 2,500 | $22.04 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 40,000 | 2025-08-11 | No | 4 | M | Direct |
Footnotes
- A portion of these shares is subject to vesting.
- 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 $275.00 to $275.98. 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 $276.02 to $276.81. 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 $279.11 to $279.89. 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 $280.15 to $280.98. 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 $281.24 to $281.76. 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 $282.21 to $282.97. 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 $283.14 to $283.75. 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.
- All shares are vested and exercisable.
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