SEC Form 4 · accession 0001321732-17-000167
Penumbra Inc · PEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arani Bose
Officer — Chief Innovator · Director
Period of report
Nov 14, 2017
Accepted (ET)
Nov 16, 2017 · 6:40 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 | Nov 14, 2017 | S | 3,511 | $106.25 | D | 728,680 | D | |
| Common StockF3 | Nov 14, 2017 | S | 4,441 | $107.40 | D | 724,239 | D | |
| Common StockF4 | Nov 14, 2017 | S | 500 | $108.16 | D | 723,739 | D | |
| Common StockF5 | Nov 15, 2017 | S | 6,900 | $104.60 | D | 716,839 | D | |
| Common StockF6 | Nov 15, 2017 | S | 1,000 | $105.60 | D | 715,839 | D | |
| Common Stock | Nov 15, 2017 | S | 100 | $106.45 | D | 715,739 | D | |
| Common StockF7 | holding | — | — | — | 250,000 | I | By Trust | |
| Common StockF8 | holding | — | — | — | 250,000 | 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 $105.90 to $106.80. 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.
- F3This transaction was executed in multiple trades at prices ranging from $107.08 to $107.75. 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 $107.90 to $108.35. 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.
- F5This transaction was executed in multiple trades at prices ranging from $104.00 to $104.95. 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.
- F6This transaction was executed in multiple trades at prices ranging from $105.00 to $105.95. 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.
- F7Shares are held by the Arani Bose 2009 Family Trust.
- F8Shares are held by the Shumita Bose 2009 Family Trust.