SEC Form 4 · accession 0001321732-18-000098
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 30, 2018
Accepted (ET)
Aug 1, 2018 · 8:21 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 | Jul 30, 2018 | S | 999 | $135.88 | D | 508,807 | I | By Trust |
| Common StockF4,F3 | Jul 30, 2018 | S | 1,206 | $137.17 | D | 507,601 | I | By Trust |
| Common StockF5,F3 | Jul 30, 2018 | S | 1,850 | $137.98 | D | 505,751 | I | By Trust |
| Common StockF6,F3 | Jul 30, 2018 | S | 2,713 | $139.07 | D | 503,038 | I | By Trust |
| Common StockF7,F3 | Jul 30, 2018 | S | 1,357 | $140.20 | D | 501,681 | 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.
- F2This transaction was executed in multiple trades at prices ranging from $135.60 to $136.10. 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.
- F3Shares are held by the Pray Revocable Trust.
- F4This transaction was executed in multiple trades at prices ranging from $136.65 to $137.55. 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.
- F5This transaction was executed in multiple trades at prices ranging from $137.65 to $138.55. 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.
- F6This transaction was executed in multiple trades at prices ranging from $138.60 to $139.55. 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.
- F7This transaction was executed in multiple trades at prices ranging from $139.60 to $140.50. 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.