SEC Form 4 · accession 0001321732-18-000094
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
Jul 23, 2018
Accepted (ET)
Jul 25, 2018 · 6:48 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,F4 | Jul 23, 2018 | S | 846 | $136.46 | D | 517,085 | I | By Trust |
| Common StockF5,F3,F4 | Jul 23, 2018 | S | 490 | $139.48 | D | 516,595 | I | By Trust |
| Common StockF6,F3,F4 | Jul 23, 2018 | S | 687 | $140.49 | D | 515,908 | I | By Trust |
| Common StockF7,F3,F4 | Jul 23, 2018 | S | 701 | $141.42 | D | 515,207 | I | By Trust |
| Common StockF8,F3,F4 | Jul 23, 2018 | S | 3,178 | $142.78 | D | 512,029 | I | By Trust |
| Common StockF9,F3,F4 | Jul 23, 2018 | S | 1,864 | $143.56 | D | 510,165 | I | By Trust |
| Common StockF10,F3,F4 | Jul 23, 2018 | S | 359 | $144.25 | D | 509,806 | I | By Trust |
| Common Stock | holding | — | — | — | 1,578 | 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.
- F10This transaction was executed in multiple trades at prices ranging from $144.15 to $144.30. 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.
- F2This transaction was executed in multiple trades at prices ranging from $136.15 to $136.55. 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.
- F3The 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.
- F4Shares are held by the Pray Revocable Trust.
- F5This transaction was executed in multiple trades at prices ranging from $139.15 to $139.70. 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 $140.25 to $140.70. 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 $141.35 to $141.50. 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.
- F8This transaction was executed in multiple trades at prices ranging from $142.25 to $143.10. 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.
- F9This transaction was executed in multiple trades at prices ranging from $143.20 to $144.10. 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.