SEC Form 4 · accession 0001321732-17-000157
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
Sep 27, 2017
Accepted (ET)
Sep 29, 2017 · 6:50 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 StockF2 | Sep 27, 2017 | S | 1,586 | $90.00 | D | 224,727 | I | By Trust |
| Common StockF2 | Sep 28, 2017 | S | 2,108 | $90.00 | D | 222,619 | I | By Trust |
| Common StockF3,F2 | Sep 29, 2017 | S | 16,323 | $90.04 | D | 206,296 | I | By Trust |
| Common Stock | holding | — | — | — | 11,704 | 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.
- F2Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010.
- F3This transaction was executed in multiple trades at prices ranging from $90.00 to $90.15. 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.