SEC Form 4 · accession 0001321732-16-000013
Penumbra Inc · PEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert D. Evans
Officer — EVP, Gen. Counsel & Secretary
Period of report
May 19, 2016
Accepted (ET)
May 23, 2016 · 7:36 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 | May 19, 2016 | P | 1,538 | $25.50 | A | 2,538 | D | |
| Common StockF2,F3 | May 20, 2016 | S | 3,000 | $50.0245 | D | 288,296 | I | By Trust |
| Common StockF4,F3 | May 23, 2016 | S | 2,000 | $51.2558 | D | 286,296 | I | By Trust |
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.
- F2This transaction was executed in multiple trades at prices ranging from $50.00 to $50.11. 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.
- F3Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010.
- F4This transaction was executed in multiple trades at prices ranging from $51.16 to $51.50. 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.