SEC Form 4 · accession 0001321732-17-000177
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 16, 2017
Accepted (ET)
Nov 20, 2017 · 8:33 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 16, 2017 | S | 14,924 | $104.76 | D | 700,815 | D | |
| Common StockF3 | Nov 16, 2017 | S | 1,345 | $105.60 | D | 699,470 | D | |
| Common StockF4 | Nov 17, 2017 | S | 3,711 | $102.70 | D | 695,759 | D | |
| Common StockF5 | Nov 17, 2017 | S | 2,000 | $103.79 | D | 693,759 | D | |
| Common StockF6 | Nov 17, 2017 | S | 2,422 | $104.48 | D | 691,337 | D | |
| Common StockF7 | Nov 20, 2017 | S | 2,198 | $104.68 | D | 689,139 | D | |
| Common StockF8 | Nov 20, 2017 | S | 5,302 | $105.45 | D | 683,837 | D | |
| Common StockF9 | Nov 20, 2017 | S | 15,234 | $106.33 | D | 668,603 | D | |
| Common StockF10 | holding | — | — | — | 250,000 | I | By Trust | |
| Common StockF11 | 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.
- F10Shares are held by the Arani Bose 2009 Family Trust.
- F11Shares are held by the Shumita Bose 2009 Family Trust.
- F2This transaction was executed in multiple trades at prices ranging from $104.25 to $105.20. 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 $105.30 to $105.75. 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 $102.20 to $103.05. 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 $103.40 to $104.15. 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.
- F6This transaction was executed in multiple trades at prices ranging from $104.20 to $104.60. 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 $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.
- F8This transaction was executed in multiple trades at prices ranging from $104.95 to $105.90. 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.
- F9This transaction was executed in multiple trades at prices ranging from $105.95 to $106.60. 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.