SEC Form 4 · accession 0001321732-17-000134
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
Jul 21, 2017
Accepted (ET)
Jul 24, 2017 · 7:12 pm EDT
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 Stock | Jul 21, 2017 | M | 4,629 | $22.04 | A | 11,704 | D | |
| Common StockF1 | holding | — | — | — | 241,296 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $22.04 | Jul 21, 2017 | M | 4,629 | D | — | Aug 11, 2025 | Common Stock | 4,629 | 35,834 | D |
Explanation of responses
- F1Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010.
- F2Option vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter.