SEC Form 4 · accession 0001321732-16-000012
Penumbra Inc · PEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lynn Rothman
Officer — EVP and Chief Business Officer
Period of report
May 19, 2016
Accepted (ET)
May 23, 2016 · 7:30 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 | May 19, 2016 | A | 1,666 | $25.50 | A | 220,306 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person is reporting the purchase of shares from the issuer pursuant to the issuer's Employee Stock Purchase Plan ("ESPP"), for the ESPP purchase period of September 18, 2015 to May 19, 2016.
- F2A portion of these shares is subject to vesting.