SEC Form 5 · accession 0001321732-17-000077
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
Dec 31, 2016
Accepted (ET)
Feb 14, 2017 · 6:56 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 | Dec 8, 2016 | G | 4,000 | $0.00 | D | 170,307 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This was a bona fide gift with no payment in consideration.
- F2A portion of these shares is subject to vesting.