SEC Form 4 · accession 0001321732-16-000008
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
May 13, 2016
Accepted (ET)
May 17, 2016 · 4:31 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 StockF2 | May 13, 2016 | S | 18,230 | $48.3977 | D | 631,770 | D | |
| Common StockF3 | May 13, 2016 | S | 8,785 | $48.9214 | D | 622,985 | D | |
| Common StockF4 | May 16, 2016 | S | 2,700 | $47.9829 | D | 620,285 | D | |
| Common StockF5 | May 16, 2016 | S | 2,785 | $48.5023 | D | 617,500 | D | |
| Common StockF6 | holding | — | — | — | 6,431 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sale to pay taxes resulting from pre-IPO option exercise.
- F2This transaction was executed in multiple trades at prices ranging from $47.75 to $48.74. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3This transaction was executed in multiple trades at prices ranging from $48.75 to $49.09. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F4This transaction was executed in multiple trades at prices ranging from $47.28 to $48.26. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F5This transaction was executed in multiple trades at prices ranging from $48.32 to $48.66. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F6Shares are held by the Pray Revocable Trust.