SEC Form 4 · accession 0001321732-17-000022
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 30, 2017
Accepted (ET)
Feb 1, 2017 · 7:59 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 30, 2017 | S | 1,500 | $70.73 | D | 188,807 | D | |
| Common StockF3 | Jan 30, 2017 | S | 200 | $71.20 | D | 188,607 | D | |
| Common StockF4,F3 | Jan 31, 2017 | S | 1,800 | $71.27 | D | 186,807 | D | |
| Common StockF5,F3 | Feb 1, 2017 | S | 814 | $70.73 | D | 185,993 | D | |
| Common StockF3 | Feb 1, 2017 | S | 100 | $71.60 | D | 185,893 | 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 $70.10 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.
- F3A portion of these shares is subject to vesting.
- F4This transaction was executed in multiple trades at prices ranging from $70.60 to $71.50. 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 $70.50 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.