SEC Form 4 · accession 0001321732-16-000027
Penumbra Inc · PEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Don W. Kassing
Director
Period of report
Aug 12, 2016
Accepted (ET)
Aug 16, 2016 · 4:38 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 | Aug 12, 2016 | S | 1,436 | $72.9866 | D | 11,564 | I | By Trust |
| Common StockF3,F2 | Aug 12, 2016 | S | 2,064 | $74.2275 | D | 9,500 | I | By Trust |
| Common StockF4 | holding | — | — | — | 4,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $72.50 to $73.36. 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.
- F2Shares are held by The Kassing Family Trust.
- F3This transaction was executed in multiple trades at prices ranging from $73.75 to $74.42. 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.
- F4Restricted stock units vested/vesting as to 1/4 on each of March 31, 2016, June 30, 2016, September 30, 2016 and December 31, 2016.