SEC Form 4 · accession 0001321732-16-000029
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
Aug 22, 2016
Accepted (ET)
Aug 24, 2016 · 9:19 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,F3 | Aug 22, 2016 | S | 2,200 | $73.03 | D | 284,096 | I | By Trust |
| Common StockF3 | Aug 22, 2016 | S | 100 | $73.46 | D | 283,996 | I | By Trust |
| Common StockF4,F3 | Aug 23, 2016 | S | 1,000 | $72.85 | D | 282,996 | I | By Trust |
| Common StockF5,F3 | Aug 23, 2016 | S | 1,100 | $73.51 | D | 281,896 | I | By Trust |
| Common StockF6,F3 | Aug 24, 2016 | S | 700 | $72.35 | D | 281,196 | I | By Trust |
| Common StockF7,F3 | Aug 24, 2016 | S | 1,200 | $72.94 | D | 279,996 | I | By Trust |
| Common Stock | holding | — | — | — | 2,538 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
- F2This transaction was executed in multiple trades at prices ranging from $72.45 to $73.40. 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 $72.46 to $73.18. 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 $73.47 to $73.54. 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.
- F6This transaction was executed in multiple trades at prices ranging from $71.80 to $72.72. 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.
- F7This transaction was executed in multiple trades at prices ranging from $72.88 to $73.20. 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.