SEC Form 4 · accession 0000950103-15-007597

Penumbra Inc · PEN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Sep 23, 2015

Accepted (ET)

Sep 23, 2015 · 4:21 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 Stock^F1	Sep 23, 2015	A	2,000	$0.00	A	8,125	D
Common Stock^F2	Sep 23, 2015	C	122,500	—	A	130,625	D
Common Stock^F2	Sep 23, 2015	C	125,392	—	A	256,017	D
Common Stock^F2	Sep 23, 2015	C	157,791	—	A	413,808	D
Common Stock^F2	Sep 23, 2015	C	105,263	—	A	519,071	D
Common Stock^F2,F3	Sep 23, 2015	C	306,250	—	A	321,562	I	See Footnote
Common Stock^F2,F3	Sep 23, 2015	C	313,480	—	A	635,042	I	See Footnote
Common Stock^F2,F3	Sep 23, 2015	C	197,239	—	A	832,281	I	See Footnote
Common Stock^F2,F3	Sep 23, 2015	C	131,579	—	A	963,860	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series B Preferred Stock^F2	—	Sep 23, 2015	C	122,500	D	—	—	Common Stock	122,500	D
Series C Preferred Stock^F2	—	Sep 23, 2015	C	125,392	D	—	—	Common Stock	125,392	D
Series D Preferred Stock^F2	—	Sep 23, 2015	C	157,791	D	—	—	Common Stock	157,791	D
Series E Preferred Stock^F2	—	Sep 23, 2015	C	105,263	D	—	—	Common Stock	105,263	D
Series B Preferred Stock^F2,F3	—	Sep 23, 2015	C	306,250	D	—	—	Common Stock	306,250	I
Series C Preferred Stock^F2,F3	—	Sep 23, 2015	C	313,480	D	—	—	Common Stock	313,480	I
Series D Preferred Stock^F2,F3	—	Sep 23, 2015	C	197,239	D	—	—	Common Stock	197,239	I
Series E Preferred Stock^F2,F3	—	Sep 23, 2015	C	131,579	D	—	—	Common Stock	131,579	I

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 B, 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.
F3Shares are held by Wang Ventures LLC, of which Mr. Wang is a Member. To the extent Mr. Wang is deemed to have beneficial ownership of any shares held by Wang Ventures LLC, he disclaims beneficial ownership except to the extent of his pecuniary interest therein.