SEC Form 4 · accession 0000950103-15-007592
Penumbra Inc · PEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Harpreet Grewal
Director
Period of report
Sep 23, 2015
Accepted (ET)
Sep 23, 2015 · 4:17 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001321732
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 23, 2015 | A | 2,000 | $0.00 | A | 2,000 | D | |
| Common StockF2 | Sep 23, 2015 | C | 9,404 | — | A | 11,404 | D | |
| Common StockF2 | Sep 23, 2015 | C | 2,761 | — | A | 14,165 | D | |
| Common StockF2 | Sep 23, 2015 | C | 1,974 | — | A | 16,139 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C Preferred StockF2 | — | Sep 23, 2015 | C | 9,404 | D | — | — | Common Stock | 9,404 | 0 | D |
| Series D Preferred StockF2 | — | Sep 23, 2015 | C | 2,761 | D | — | — | Common Stock | 2,761 | 0 | D |
| Series E Preferred StockF2 | — | Sep 23, 2015 | C | 1,974 | D | — | — | Common Stock | 1,974 | 0 | D |
Explanation of responses
- F1Restricted stock vests as to 50% of the shares on the date of grant and 1/4 vests on each of September 30, 2015 and December 31, 2015.
- F2The Series C, Series D and Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis upon closing of the Issuer's initial public offering of Common Stock and had no expiration date.