SEC Form 4 · accession 0001321732-17-000171
Penumbra Inc · PEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adam Elsesser
Officer — Chairman, CEO and President · Director
Period of report
Nov 14, 2017
Accepted (ET)
Nov 16, 2017 · 6:48 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 | 4,500 | $106.12 | D | 1,231,338 | D | |
| Common StockF3 | Nov 14, 2017 | S | 5,677 | $107.29 | D | 1,225,661 | D | |
| Common StockF4 | Nov 14, 2017 | S | 1,700 | $108.14 | D | 1,223,961 | D | |
| Common StockF5 | Nov 15, 2017 | S | 10,467 | $104.61 | D | 1,213,494 | D | |
| Common StockF6 | Nov 15, 2017 | S | 1,800 | $105.36 | D | 1,211,694 | D | |
| Common StockF7 | Nov 15, 2017 | S | 300 | $106.37 | D | 1,211,394 | D | |
| Common StockF8 | holding | — | — | — | 14,144 | 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 $105.75 to $106.70. 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.
- F3This transaction was executed in multiple trades at prices ranging from $106.75 to $107.70. 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.
- F4This transaction was executed in multiple trades at prices ranging from $107.75 to $108.55. 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 $103.95 to $104.90. 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 $104.95 to $105.85. 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 $106.05 to $106.55. 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.
- F8Shares are held by the Siegel/Elsesser Revocable Trust.