Filing Details
- Accession Number:
- 0001321732-23-000068
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-05-16 19:32:30
- Reporting Period:
- 2023-05-12
- Accepted Time:
- 2023-05-16 19:32:30
- 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 | 2023-05-12 | 652 | $22.04 | 70,425 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-05-12 | 375 | $317.32 | 70,050 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-05-12 | 436 | $318.20 | 69,614 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-05-12 | 187 | $319.24 | 69,427 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-05-12 | 16 | $320.13 | 69,411 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-05-12 | 25 | $322.38 | 69,386 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-05-12 | 447 | $322.95 | 68,939 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-05-12 | 14 | $324.07 | 68,925 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-05-15 | 1,688 | $314.92 | 67,237 | No | 4 | F | 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 | F | 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 | 2023-05-12 | 652 | $0.00 | 652 | $22.04 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 7,598 | 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 $316.84 to $317.71. 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 $317.87 to $318.76. 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 $318.90 to $319.79. 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 $320.00 to $320.50. 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 $321.89 to $322.73. 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 $322.87 to $323.41. 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 $324.00 to $324.10. 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 were withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the Reporting Person.
- All shares are vested and exercisable.
Billionaire Hedge Funds
