SEC Form 4 · accession 0001321732-18-000114
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
Aug 27, 2018
Accepted (ET)
Aug 29, 2018 · 8:54 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 | Aug 27, 2018 | S | 5,651 | $130.35 | D | 493,830 | I | By Trust |
| Common StockF4,F3 | Aug 27, 2018 | S | 274 | $131.01 | D | 493,556 | 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 $130.00 to $130.95. 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 Pray Revocable Trust.
- F4This transaction was executed in multiple trades at prices ranging from $131.00 to $131.05. 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.