SEC Form 4 · accession 0001321732-18-000144
Penumbra Inc · PEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Donen Davis
Officer — See Remarks
Period of report
Dec 27, 2018
Accepted (ET)
Dec 31, 2018 · 5:42 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 StockF1 | Dec 27, 2018 | M | 1,647 | $3.98 | A | 63,985 | D | |
| Common StockF1 | Dec 27, 2018 | M | 292 | $4.49 | A | 64,277 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $3.98 | Dec 27, 2018 | M | 1,647 | D | — | Sep 29, 2021 | Common Stock | 1,647 | 41,375 | D |
| Stock Option (right to buy)F3 | $4.49 | Dec 27, 2018 | M | 292 | D | — | Feb 6, 2022 | Common Stock | 292 | 1,708 | D |
Explanation of responses
- F1A portion of these shares is subject to vesting.
- F2All options are vested and exercisable.
- F3All options are vested and exercisable.
Remarks
The Reporting Person is Chief Commercial Officer and President, North America.