SEC Form 4 · accession 0001321732-17-000189
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 21, 2017
Accepted (ET)
Nov 22, 2017 · 4:15 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 21, 2017 | S | 3,900 | $106.66 | D | 664,703 | D | |
| Common StockF3 | Nov 21, 2017 | S | 9,165 | $107.37 | D | 655,538 | D | |
| Common StockF4 | Nov 21, 2017 | S | 800 | $107.99 | D | 654,738 | D | |
| Common StockF5 | holding | — | — | — | 250,000 | I | By Trust | |
| Common StockF6 | 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 $105.95 to $106.90. 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.
- F3This transaction was executed in multiple trades at prices ranging from $106.95 to $107.85. 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.
- F4This transaction was executed in multiple trades at prices ranging from $107.95 to $108.00. 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.
- F5Shares are held by the Arani Bose 2009 Family Trust.
- F6Shares are held by the Shumita Bose 2009 Family Trust.