SEC Form 4 · accession 0001321732-17-000179
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 16, 2017
Accepted (ET)
Nov 20, 2017 · 8:35 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 | 19,507 | $104.82 | D | 1,191,887 | D | |
| Common StockF3 | Nov 16, 2017 | S | 4,569 | $105.44 | D | 1,187,318 | D | |
| Common StockF4 | Nov 17, 2017 | S | 4,986 | $102.74 | D | 1,182,332 | D | |
| Common StockF5 | Nov 17, 2017 | S | 2,308 | $103.81 | D | 1,180,024 | D | |
| Common StockF6 | Nov 17, 2017 | S | 3,892 | $104.47 | D | 1,176,132 | D | |
| Common StockF7 | Nov 20, 2017 | S | 4,801 | $104.89 | D | 1,171,331 | D | |
| Common StockF8 | Nov 20, 2017 | S | 15,699 | $106.08 | D | 1,155,632 | D | |
| Common StockF9 | Nov 20, 2017 | S | 7,100 | $106.53 | D | 1,148,532 | D | |
| Common StockF10 | 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.
- F10Shares are held by the Siegel/Elsesser Revocable Trust.
- F2This transaction was executed in multiple trades at prices ranging from $104.20 to $105.15. 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.
- F3This transaction was executed in multiple trades at prices ranging from $105.20 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 $103.15. 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.
- 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 $104.40 to $105.35. 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.
- F8This transaction was executed in multiple trades at prices ranging from $105.40 to $106.35. 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.
- F9This transaction was executed in multiple trades at prices ranging from $106.40 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.