SEC Form 4 · accession 0001321732-17-000205
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 27, 2017
Accepted (ET)
Nov 29, 2017 · 8:22 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 27, 2017 | S | 2,700 | $103.46 | D | 517,406 | D | |
| Common StockF3 | Nov 27, 2017 | S | 1,292 | $104.90 | D | 516,114 | D | |
| Common StockF4 | Nov 28, 2017 | S | 700 | $102.66 | D | 515,414 | D | |
| Common StockF5 | Nov 28, 2017 | S | 1,600 | $103.47 | D | 513,814 | D | |
| Common StockF6 | Nov 28, 2017 | S | 400 | $104.73 | D | 513,414 | D | |
| Common StockF7 | Nov 28, 2017 | S | 336 | $105.35 | D | 513,078 | D | |
| Common StockF8 | 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 $103.20 to $104.05. 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 $104.45 to $105.10. 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 $102.05 to $103.00. 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.
- F5This transaction was executed in multiple trades at prices ranging from $103.20 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 $105.00. 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.
- F7This transaction was executed in multiple trades at prices ranging from $105.25 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.
- F8Shares are held by the Pray Revocable Trust.