SEC Form 4 · accession 0000950103-18-010556

Penguin Solutions, Inc. · PENG

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — VP, Chief Legal Officer

Period of report

Sep 4, 2018

Accepted (ET)

Sep 6, 2018 · 12:19 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001616533

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Ordinary Shares^F1	Sep 4, 2018	M	3,600	$2.64	A	14,491	D
Ordinary Shares^F2	Sep 4, 2018	S	3,400	$31.99	D	11,091	D
Ordinary Shares^F3	Sep 4, 2018	S	200	$32.88	D	10,891	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Options (right to buy)^F4	$2.64	Sep 4, 2018	M	3,600	D	—	Sep 27, 2020	Ordinary Shares	3,600	3,836	D

F1The transactions reported herein were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018.
F2The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $31.48 to $32.42. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges.
F3The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $32.48 to $33.01. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges.
F4The option was granted on 09/28/2010 and was fully vested on 09/28/2014.