SEC Form 4 · accession 0001321732-17-000053
Penumbra Inc · PEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Robert Pray
Officer — President, International
Period of report
Feb 8, 2017
Accepted (ET)
Feb 10, 2017 · 7:19 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 | Feb 8, 2017 | S | 1,700 | $68.61 | D | 566,978 | D | |
| Common StockF3 | Feb 8, 2017 | S | 3,650 | $69.79 | D | 563,328 | D | |
| Common StockF4 | Feb 8, 2017 | S | 3,450 | $70.17 | D | 559,878 | D | |
| Common StockF5 | Feb 9, 2017 | S | 100 | $68.98 | D | 559,778 | D | |
| Common StockF6 | Feb 9, 2017 | S | 1,200 | $70.35 | D | 558,578 | D | |
| Common StockF7 | Feb 9, 2017 | S | 1,400 | $71.60 | D | 557,178 | D | |
| Common StockF8 | Feb 9, 2017 | S | 6,400 | $72.14 | D | 550,778 | D | |
| Common StockF9 | Feb 10, 2017 | S | 703 | $71.30 | D | 550,075 | D | |
| Common StockF10 | Feb 10, 2017 | S | 5,297 | $72.12 | D | 544,778 | D | |
| Common StockF11 | holding | — | — | — | 6,431 | I | By Trust |
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.
- F10This transaction was executed in multiple trades at prices ranging from $71.90 to $72.35. 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.
- F11Shares are held by the Pray Revocable Trust.
- F2This transaction was executed in multiple trades at prices ranging from $68.10 to $69.05. 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.
- F3This transaction was executed in multiple trades at prices ranging from $69.10 to $70.05. 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.
- F4This transaction was executed in multiple trades at prices ranging from $70.10 to $70.23. 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 $68.95 to $69.05. 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.
- F6This transaction was executed in multiple trades at prices ranging from $70.00 to $70.80. 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 $71.08 to $71.90. 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 $71.95 to $72.28. 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.
- F9This transaction was executed in multiple trades at prices ranging from $70.80 to $71.70. 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.