SEC Form 4 · accession 0001321732-17-000183
Penumbra Inc · PEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Robert Pray
Officer — President, International
Period of report
Nov 20, 2017
Accepted (ET)
Nov 22, 2017 · 4:09 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 20, 2017 | S | 1,875 | $105.03 | D | 541,203 | D | |
| Common StockF3 | Nov 20, 2017 | S | 6,900 | $106.17 | D | 534,303 | D | |
| Common StockF4 | Nov 20, 2017 | S | 2,809 | $106.54 | D | 531,494 | D | |
| Common StockF5 | Nov 21, 2017 | S | 1,700 | $106.77 | D | 529,794 | D | |
| Common StockF6 | Nov 21, 2017 | S | 4,600 | $107.43 | D | 525,194 | D | |
| Common StockF7 | holding | — | — | — | 6,431 | 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 $104.50 to $105.45. 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 $105.55 to $106.45. 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 $106.50 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.
- F5This transaction was executed in multiple trades at prices ranging from $106.05 to $107.00. 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 $107.20 to $107.80. 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.
- F7Shares are held by the Pray Revocable Trust.