SEC Form 4 · accession 0001321732-16-000083
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
Oct 7, 2016
Accepted (ET)
Oct 11, 2016 · 6:14 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 | Oct 7, 2016 | M | 4,537 | $22.04 | A | 7,075 | D | |
| Common StockF1 | holding | — | — | — | 266,296 | 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)F2 | $22.04 | Oct 7, 2016 | M | 4,537 | D | — | Aug 11, 2025 | Common Stock | 4,537 | 45,463 | D |
Explanation of responses
- F1Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010.
- F2The option was granted by the Issuer prior to the date on which the Reporting Person became subject to Section 16. The original option grant vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter and was previously reported on Form 3.