SEC Form 4 · accession 0001321732-17-000032
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
Feb 2, 2017
Accepted (ET)
Feb 6, 2017 · 8:53 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 2, 2017 | S | 1,100 | $69.81 | D | 49,949 | D | |
| Common StockF4,F3 | Feb 2, 2017 | S | 400 | $70.54 | D | 49,549 | D | |
| Common StockF5,F3 | Feb 3, 2017 | S | 1,211 | $69.83 | D | 48,338 | D | |
| Common StockF6,F3 | Feb 3, 2017 | S | 1,497 | $70.64 | D | 46,841 | D | |
| Common StockF7,F3 | Feb 6, 2017 | S | 1,100 | $69.22 | D | 45,741 | D | |
| Common StockF8,F3 | Feb 6, 2017 | S | 500 | $69.73 | D | 45,241 | 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 $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.
- F3A portion of these shares is subject to vesting.
- F4This 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.
- F5This 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.
- F6This transaction was executed in multiple trades at prices ranging from $70.30 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.
- F7This transaction was executed in multiple trades at prices ranging from $68.65 to $69.60. 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 $69.65 to $70.00. 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.