SEC Form 4 · accession 0000950103-15-007594
Penumbra Inc · PEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Robert Pray
Officer — President, International
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 | Jun 28, 2015 | M | 150,000 | $0.57 | A | 650,000 | D | |
| Common StockF2,F3 | Sep 23, 2015 | C | 6,125 | — | A | 6,431 | I | By Trust |
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 | $0.57 | Jun 28, 2015 | M | 150,000 | D | — | Mar 31, 2016 | Common Stock | 150,000 | 0 | D |
| Series B Preferred StockF2,F3 | — | Sep 23, 2015 | C | 6,125 | D | — | — | Common Stock | 6,125 | 0 | I |
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.
- F2The Series B 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.
- F3Shares are held by the Pray Revocable Trust.
- F4All shares are fully vested.