Filing Details

Accession Number:
0001321732-20-000108
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-07-21 21:42:13
Reporting Period:
2020-07-17
Accepted Time:
2020-07-21 21:42:13
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 2020-07-17 4,800 $3.98 17,132 No 4 M Direct
Common Stock Disposition 2020-07-17 4,800 $195.12 12,332 No 4 S Direct
Common Stock Acquisiton 2020-07-20 4,875 $3.98 17,207 No 4 M Direct
Common Stock Disposition 2020-07-20 4,875 $200.07 12,332 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M 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 2020-07-17 4,800 $0.00 4,800 $3.98
Common Stock Stock Option (right to buy) Disposition 2020-07-20 4,875 $0.00 4,875 $3.98
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
25,180 2021-06-12 No 4 M Direct
20,305 2021-06-12 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 101,807 Indirect By Trust
Footnotes
  1. The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
  2. This transaction was executed in multiple trades at prices ranging from $195.00 to $195.44. 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.
  3. This transaction was executed in multiple trades at prices ranging from $200.00 to $200.23. 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.
  4. Shares are held by the Trust of Richard E. Koch and Lynn D. Rothman.
  5. All shares are vested and exercisable.