SEC Form 4 · accession 0001321732-18-000004
Penumbra Inc · PEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert D. Evans
Officer — EVP, Gen. Counsel & Secretary
Period of report
Jan 2, 2018
Accepted (ET)
Jan 4, 2018 · 8:36 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,F3 | Jan 2, 2018 | S | 18,345 | $89.60 | D | 187,951 | I | By Trust |
| Common StockF4,F3 | Jan 2, 2018 | S | 20,855 | $90.08 | D | 167,096 | I | By Trust |
| Common StockF5,F3 | Jan 2, 2018 | S | 600 | $91.65 | D | 166,496 | I | By Trust |
| Common StockF6,F3 | Jan 2, 2018 | S | 200 | $92.23 | D | 166,296 | I | By Trust |
| Common Stock | holding | — | — | — | 11,704 | D |
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 $89.00 to $89.95. 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.
- F3Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010.
- F4This transaction was executed in multiple trades at prices ranging from $90.00 to $90.80. 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 $91.00 to $91.95. 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.
- F6This transaction was executed in multiple trades at prices ranging from $92.10 to $92.35. 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.