SEC Form 4 · accession 0000950103-15-007593
Penumbra Inc · PEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Don W. Kassing
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,F2 | Apr 23, 2015 | M | 8,000 | $2.81 | A | 16,000 | I | By Trust |
| Common StockF3 | Sep 23, 2015 | A | 2,000 | $0.00 | A | 2,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1,F4 | $2.81 | Apr 23, 2015 | M | 8,000 | D | — | Dec 3, 2018 | Common Stock | 8,000 | 0 | D |
Explanation of responses
- F1These transactions occurred prior to the date on which the Reporting Person became subject to Section 16 and were reflected on the Reporting Person's Form 3.
- F2Shares are held by The Kassing Family Trust.
- F3Restricted 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.
- F4All shares are fully vested.