SEC Form 4 · accession 0001321732-16-000065
Penumbra Inc · PEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Donen Davis
Officer — President, North America
Period of report
Sep 1, 2016
Accepted (ET)
Sep 6, 2016 · 9:11 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 | Sep 1, 2016 | S | 2,300 | $69.90 | D | 59,426 | D | |
| Common StockF3 | Sep 1, 2016 | S | 100 | $70.39 | D | 59,326 | D | |
| Common StockF4,F3 | Sep 2, 2016 | S | 4,500 | $70.47 | D | 54,826 | D | |
| Common StockF5,F3 | Sep 6, 2016 | S | 2,200 | $70.87 | D | 52,626 | D | |
| Common StockF6,F3 | Sep 6, 2016 | S | 8,500 | $71.22 | D | 44,126 | 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 $69.28 to $70.25. 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 $70.10 to $70.70. 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 $70.06 to $71.05. 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 $71.07 to $71.35. 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.