SEC Form 4 · accession 0001321732-17-000014
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
Jan 25, 2017
Accepted (ET)
Jan 27, 2017 · 8:29 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,F3 | Jan 25, 2017 | S | 4,122 | $75.04 | D | 65,195 | D | |
| Common StockF4,F3 | Jan 25, 2017 | S | 1,901 | $75.68 | D | 63,294 | D | |
| Common StockF5,F3 | Jan 26, 2017 | S | 1,808 | $72.93 | D | 61,486 | D | |
| Common StockF6,F3 | Jan 26, 2017 | S | 1,407 | $73.69 | D | 60,079 | D | |
| Common StockF3 | Jan 26, 2017 | S | 100 | $75.00 | D | 59,979 | D | |
| Common StockF7,F3 | Jan 27, 2017 | S | 1,432 | $72.39 | D | 58,547 | D | |
| Common StockF8,F3 | Jan 27, 2017 | S | 200 | $73.40 | D | 58,347 | 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 $74.45 to $75.35. 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.
- F3A portion of these shares is subject to vesting.
- F4This transaction was executed in multiple trades at prices ranging from $75.50 to $75.90. 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 $72.45 to $73.35. 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.
- F6This transaction was executed in multiple trades at prices ranging from $73.45 to $74.10. 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 $72.05 to $72.90. 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 $73.15 to $73.65. 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.