SEC Form 4 · accession 0001321732-17-000195
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 22, 2017
Accepted (ET)
Nov 27, 2017 · 7:45 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 | 1,300 | $105.50 | D | 523,894 | D | |
| Common StockF3 | Nov 22, 2017 | S | 1,388 | $106.59 | D | 522,506 | D | |
| Common StockF4 | Nov 22, 2017 | S | 200 | $107.60 | D | 522,306 | D | |
| Common StockF5 | Nov 24, 2017 | S | 1,300 | $103.64 | D | 521,006 | D | |
| Common StockF6 | Nov 24, 2017 | S | 800 | $104.58 | D | 520,206 | D | |
| Common Stock | Nov 24, 2017 | S | 100 | $105.25 | D | 520,106 | 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 $105.15 to $106.05. 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.
- F3This transaction was executed in multiple trades at prices ranging from $106.15 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.
- F4This transaction was executed in multiple trades at prices ranging from $107.55 to $107.65. 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 $103.15 to $104.00. 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 $104.25 to $104.75. 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.
- F7Shares are held by the Pray Revocable Trust.