SEC Form 4 · accession 0001321732-17-000191
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 22, 2017
Accepted (ET)
Nov 27, 2017 · 7:42 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 22, 2017 | S | 2,301 | $105.38 | D | 1,133,672 | D | |
| Common StockF3 | Nov 22, 2017 | S | 2,600 | $106.44 | D | 1,131,072 | D | |
| Common StockF4 | Nov 22, 2017 | S | 150 | $107.25 | D | 1,130,922 | D | |
| Common StockF5 | Nov 24, 2017 | S | 2,000 | $103.59 | D | 1,128,922 | D | |
| Common StockF6 | Nov 24, 2017 | S | 2,484 | $104.49 | D | 1,126,438 | D | |
| Common Stock | Nov 24, 2017 | S | 600 | $105.25 | D | 1,125,838 | D | |
| Common StockF7 | 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 $105.05 to $105.80. 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.
- F3This transaction was executed in multiple trades at prices ranging from $106.05 to $106.95. 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 $107.10 to $107.55. 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 $102.95 to $103.90. 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 $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.
- F7Shares are held by the Siegel/Elsesser Revocable Trust.