SEC Form 4 · accession 0001321732-17-000197
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 22, 2017
Accepted (ET)
Nov 27, 2017 · 7:46 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 | 2,620 | $105.44 | D | 652,118 | D | |
| Common StockF3 | Nov 22, 2017 | S | 3,157 | $106.43 | D | 648,961 | D | |
| Common StockF4 | Nov 22, 2017 | S | 471 | $107.56 | D | 648,490 | D | |
| Common StockF5 | Nov 24, 2017 | S | 2,000 | $103.60 | D | 646,490 | D | |
| Common StockF6 | Nov 24, 2017 | S | 2,700 | $104.48 | D | 643,790 | D | |
| Common StockF7 | Nov 24, 2017 | S | 672 | $105.16 | D | 643,118 | D | |
| Common StockF8 | holding | — | — | — | 250,000 | I | By Trust | |
| Common StockF9 | 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 $105.10 to $105.90. 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 $106.10 to $107.05. 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.
- F4This transaction was executed in multiple trades at prices ranging from $107.35 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.
- 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.
- F7This transaction was executed in multiple trades at prices ranging from $104.95 to $105.25. 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.
- F8Shares are held by the Arani Bose 2009 Family Trust.
- F9Shares are held by the Shumita Bose 2009 Family Trust.