SEC Form 4 · accession 0001321732-17-000010
Penumbra Inc · PEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Don W. Kassing
Director
Period of report
Jan 25, 2017
Accepted (ET)
Jan 27, 2017 · 8:24 pm EST
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 | Jan 25, 2017 | S | 1,334 | $74.95 | D | 2,666 | D | |
| Common StockF3 | Jan 25, 2017 | S | 666 | $75.65 | D | 2,000 | D | |
| Common StockF4,F5 | Jan 26, 2017 | S | 800 | $72.80 | D | 8,700 | I | By Trust |
| Common StockF5 | Jan 26, 2017 | S | 100 | $74.05 | D | 8,600 | I | By Trust |
| Common StockF5 | Jan 26, 2017 | S | 100 | $75.00 | D | 8,500 | I | By Trust |
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 $74.75 to $75.30. 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.
- F3This transaction was executed in multiple trades at prices ranging from $75.50 to $75.85. 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 $72.45 to $73.25. 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.
- F5Shares are held by The Kassing Family Trust.