Filing Details
- Accession Number:
- 0001321732-23-000122
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-10-13 19:33:26
- Reporting Period:
- 2023-10-11
- Accepted Time:
- 2023-10-13 19:33:26
- 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 |
|---|---|---|---|---|---|---|---|
| 1651323 | Adam Elsesser | One Penumbra Place Alameda CA 94502 | Ceo And President | Yes | 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 | 2023-10-11 | 9,670 | $7.75 | 9,670 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-10-11 | 3,818 | $214.35 | 5,852 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-10-11 | 4,857 | $215.40 | 995 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-10-11 | 90 | $217.00 | 905 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-10-11 | 236 | $217.42 | 669 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-10-11 | 43 | $218.79 | 626 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-10-11 | 19 | $222.62 | 607 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-10-11 | 188 | $223.50 | 419 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-10-11 | 126 | $224.78 | 293 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-10-11 | 96 | $225.40 | 197 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-10-11 | 197 | $230.32 | 0 | 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 | |
| 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 | 2023-10-11 | 9,670 | $0.00 | 9,670 | $7.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2024-03-20 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 957,582 | 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 $214.03 to $215.00. 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 $215.10 to $215.67. 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 $217.05 to $217.66. 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 $218.19 to $218.93. 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 $223.33 to $223.96. 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 $224.45 to $224.92. 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 $230.23 to $230.33. 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 Siegel/Elsesser Revocable Trust.
- All shares are vested and exercisable.
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