Filing Details

Accession Number:
0001321732-17-000138
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-08-03 18:00:52
Reporting Period:
2017-08-01
Filing Date:
2017-08-03
Accepted Time:
2017-08-03 18:00:52
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
1651322 Donen Daniel Davis One Penumbra Place
Alameda CA 94502
See Remarks 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 2017-08-01 30,559 $12.36 74,500 No 4 M Direct
Common Stock Disposition 2017-08-01 6,850 $78.31 67,650 No 4 S Direct
Common Stock Disposition 2017-08-01 14,433 $79.22 53,217 No 4 S Direct
Common Stock Disposition 2017-08-01 7,954 $80.19 45,263 No 4 S Direct
Common Stock Disposition 2017-08-01 2,763 $80.98 42,500 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
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (right to buy) Disposition 2017-08-01 30,559 $0.00 30,559 $12.36
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
160,817 2025-03-22 No 4 M Direct
Footnotes
  1. A portion of these shares is subject to vesting.
  2. The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
  3. This transaction was executed in multiple trades at prices ranging from $77.75 to $78.70. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provideupon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
  4. This transaction was executed in multiple trades at prices ranging from $78.75 to $79.70. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provideupon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
  5. This transaction was executed in multiple trades at prices ranging from $79.75 to $80.70. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provideupon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
  6. This transaction was executed in multiple trades at prices ranging from $80.75 to $81.60. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provideupon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
  7. The original option grant vests over four years, with 25% of the options vesting on January 26, 2016 and 1/48 vesting each month thereafter.