SEC Form 4 · accession 0001321732-17-000059
Penumbra Inc · PEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sridhar Kosaraju
Officer — CFO and Head of Strategy
Period of report
Feb 8, 2017
Accepted (ET)
Feb 10, 2017 · 7:25 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,F4 | Feb 8, 2017 | S | 3,700 | $70.11 | D | 503,007 | I | By Trust |
| Common StockF5,F3,F4 | Feb 9, 2017 | S | 701 | $70.23 | D | 502,306 | I | By Trust |
| Common StockF6,F3,F4 | Feb 9, 2017 | S | 985 | $71.65 | D | 501,321 | I | By Trust |
| Common StockF7,F3,F4 | Feb 9, 2017 | S | 4,714 | $72.14 | D | 496,607 | I | By Trust |
| Common StockF8,F3,F4 | Feb 10, 2017 | S | 1,357 | $71.62 | D | 495,250 | I | By Trust |
| Common StockF9,F3,F4 | Feb 10, 2017 | S | 4,043 | $72.14 | D | 491,207 | 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.
- F2This transaction was executed in multiple trades at prices ranging from $70.00 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.
- F3A portion of these shares is subject to vesting.
- F4Shares are held by the Kosaraju Family Trust.
- F5This transaction was executed in multiple trades at prices ranging from $70.00 to $70.70. 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.
- F6This transaction was executed in multiple trades at prices ranging from $71.10 to $71.95. 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 $72.00 to $72.25. 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.
- F8This transaction was executed in multiple trades at prices ranging from $71.00 to $71.95. 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.
- F9This transaction was executed in multiple trades at prices ranging from $72.00 to $72.40. 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.