SEC Form 4 · accession 0001321732-18-000059
Penumbra Inc · PEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sridhar Kosaraju
Officer — CFO and Head of Strategy
Period of report
Apr 28, 2018
Accepted (ET)
May 1, 2018 · 8:07 pm EDT
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 | Apr 28, 2018 | F | 79,612 | $126.45 | D | 222,819 | D | |
| Common StockF4 | holding | — | — | — | 54,147 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares were withheld by Issuer to satisfy tax withholding obligations in connection with the vesting of Restricted Stock granted to the Reporting Person.
- F2The Reporting Person holds shares both directly and indirectly through his revocable family trust as indicated on this Form. Any changes between direct holdings and indirect holdings through such trust are in transactions exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934 as mere changes in form of beneficial ownership.
- F3A portion of these shares is subject to vesting.
- F4Shares are held by the Kosaraju Family Trust.