SEC Form 4 · accession 0001321732-17-000028
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
Feb 1, 2017
Accepted (ET)
Feb 3, 2017 · 8:20 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 | Feb 1, 2017 | S | 1,310 | $70.76 | D | 264,986 | I | By Trust |
| Common StockF4,F3 | Feb 1, 2017 | S | 300 | $71.55 | D | 264,686 | I | By Trust |
| Common StockF5,F3 | Feb 2, 2017 | S | 1,104 | $69.81 | D | 263,582 | I | By Trust |
| Common StockF6,F3 | Feb 2, 2017 | S | 400 | $70.54 | D | 263,182 | I | By Trust |
| Common StockF7,F3 | Feb 3, 2017 | S | 1,000 | $69.74 | D | 262,182 | I | By Trust |
| Common StockF8,F3 | Feb 3, 2017 | S | 886 | $70.63 | D | 261,296 | I | By Trust |
| Common Stock | holding | — | — | — | 7,075 | 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 $70.35 to $71.25. 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.
- F3Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010.
- F4This transaction was executed in multiple trades at prices ranging from $71.40 to $71.65. 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.
- F5This transaction was executed in multiple trades at prices ranging from $69.40 to $70.30. 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 $70.40 to $70.75. 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.
- F7This transaction was executed in multiple trades at prices ranging from $69.20 to $70.10. 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.
- F8This transaction was executed in multiple trades at prices ranging from $70.40 to $70.95. 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.