SEC Form 4 · accession 0001321732-16-000045
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
Aug 25, 2016
Accepted (ET)
Aug 29, 2016 · 8:48 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 25, 2016 | S | 1,300 | $70.43 | D | 212,706 | D | |
| Common StockF4,F3 | Aug 25, 2016 | S | 400 | $70.77 | D | 212,306 | D | |
| Common StockF5,F3 | Aug 26, 2016 | S | 2,000 | $70.98 | D | 210,306 | D | |
| Common StockF6,F3 | Aug 26, 2016 | S | 1,600 | $71.61 | D | 208,706 | 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 $69.64 to $70.63. 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.
- F3A portion of these shares is subject to vesting.
- F4This transaction was executed in multiple trades at prices ranging from $70.66 to $70.96. 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 $70.47 to $71.46. 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 $71.47 to $71.87. 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.