SEC Form 4 · accession 0000950103-18-014828

Penguin Solutions, Inc. · PENG

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

Reporting owner

Officer — Senior Vice President

Period of report

Dec 17, 2018

Accepted (ET)

Dec 19, 2018 · 7:27 pm EST

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	Dec 17, 2018	M	8,800	$11.55	A	106,466	D
Ordinary Shares^F2	Dec 17, 2018	S	2,390	$28.22	D	104,076	D
Ordinary Shares^F3	Dec 17, 2018	S	6,310	$29.27	D	97,766	D
Ordinary Shares	Dec 17, 2018	S	100	$30.05	D	97,666	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	$11.55	Dec 17, 2018	M	8,800	D	—	May 23, 2026	Ordinary Shares	8,800	48,922	D

F1The transactions reported herein were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/24/2017 and modified on 4/17/2018.
F2The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $27.92 to $28.75. 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 range.
F3The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $28.99 to $29.82. 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 range.
F4Fully vested and exercisable.