SEC Form 4 · accession 0001321732-16-000039
Penumbra Inc · PEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arani Bose
Officer — Chief Innovator · Director
Period of report
Aug 22, 2016
Accepted (ET)
Aug 24, 2016 · 9:54 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 Stock | Aug 22, 2016 | M | 10,100 | $1.26 | A | 742,291 | D | |
| Common StockF2 | Aug 22, 2016 | S | 8,100 | $72.97 | D | 734,191 | D | |
| Common StockF3 | Aug 22, 2016 | S | 2,000 | $73.48 | D | 732,191 | D | |
| Common Stock | Aug 23, 2016 | M | 10,000 | $1.26 | A | 742,191 | D | |
| Common StockF4 | Aug 23, 2016 | S | 7,800 | $72.75 | D | 734,391 | D | |
| Common StockF5 | Aug 23, 2016 | S | 2,200 | $73.50 | D | 732,191 | D | |
| Common Stock | Aug 24, 2016 | M | 8,900 | $1.26 | A | 741,091 | D | |
| Common StockF6 | Aug 24, 2016 | S | 316 | $70.82 | D | 740,775 | D | |
| Common StockF7 | Aug 24, 2016 | S | 1,000 | $72.16 | D | 739,775 | D | |
| Common StockF8 | Aug 24, 2016 | S | 7,484 | $73.03 | D | 732,291 | D | |
| Common Stock | Aug 24, 2016 | S | 100 | $73.59 | D | 732,191 | D | |
| Common StockF9 | holding | — | — | — | 250,000 | I | By Trust | |
| Common StockF10 | holding | — | — | — | 250,000 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F11 | $1.26 | Aug 22, 2016 | M | 10,100 | D | — | Apr 30, 2017 | Common Stock | 10,100 | 189,900 | D |
| Stock Option (right to buy)F11 | $1.26 | Aug 23, 2016 | M | 10,000 | D | — | Apr 30, 2017 | Common Stock | 10,000 | 179,900 | D |
| Stock Option (right to buy)F11 | $1.26 | Aug 24, 2016 | M | 8,900 | D | — | Apr 30, 2017 | Common Stock | 8,900 | 171,000 | D |
Explanation of responses
- F1The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
- F10Shares are held by the Shumita Bose 2009 Family Trust.
- F11All shares are vested and exercisable.
- F2This transaction was executed in multiple trades at prices ranging from $72.41 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.
- F3This transaction was executed in multiple trades at prices ranging from $73.41 to $73.62. 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 $72.33 to $73.32. 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 $73.33 to $73.54. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provideupon 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 $70.53 to $71.01. 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 $71.76 to $72.52. 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.
- F8This transaction was executed in multiple trades at prices ranging from $72.55 to $73.30. 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.
- F9Shares are held by the Arani Bose 2009 Family Trust.