SEC Form 4 · accession 0001321732-17-000016
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
Jan 25, 2017
Accepted (ET)
Jan 27, 2017 · 8:31 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 | 2,500 | $74.98 | D | 194,807 | D | |
| Common StockF4,F3 | Jan 25, 2017 | S | 1,400 | $75.65 | D | 193,407 | D | |
| Common StockF5,F3 | Jan 26, 2017 | S | 1,200 | $72.91 | D | 192,207 | D | |
| Common StockF6,F3 | Jan 26, 2017 | S | 700 | $73.70 | D | 191,507 | D | |
| Common StockF3 | Jan 26, 2017 | S | 100 | $75.05 | D | 191,407 | D | |
| Common StockF7,F3 | Jan 27, 2017 | S | 900 | $72.29 | D | 190,507 | D | |
| Common StockF8,F3 | Jan 27, 2017 | S | 200 | $73.40 | D | 190,307 | 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 $74.25 to $75.20. 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 $75.25 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 $73.30. 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.
- F6This transaction was executed in multiple trades at prices ranging from $73.5 to $74.05. 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.
- F7This transaction was executed in multiple trades at prices ranging from $71.95 to $72.75. 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 $73.10 to $73.70. 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.