Form 4 for PENG Penguin Solutions, Inc.
Accepted 2021-08-24 00:00:00 ET · period of report 2021-08-20 · accession 0000950103-21-012839 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-08-24 | 2021-08-20 | PENG | Pacheco Jack A | EVP, COO, Pres SMART Mem | M - OptEx | $21.55 | +7,500 | 97.9K | +8% | +$161.6K |
| DM | 2021-08-24 | 2021-08-20 | PENG | Pacheco Jack A | EVP, COO, Pres SMART Mem | S - Sale+OE | $42.09 | -7,500 | 90.4K | -8% | -$315.6K |
| D | 2021-08-24 | 2021-08-20 | PENG | Pacheco Jack A | EVP, COO, Pres SMART Mem | M - OptEx | $0.00 | -7,500 | 40.0K | -16% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Ordinary Shares | 2021-08-20 | M | A | 7,500 | $21.55 | 97,909 | D | — | — | |
| 2 | Common | Ordinary Shares | 2021-08-20 | S | D | 6,856 | $42.04 | 91,053 | D | — | — | (F1) The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person. (F2) This transaction was executed in multiple trades at prices ranging from $ 41.55 to $ 42.52. 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. |
| 3 | Common | Ordinary Shares | 2021-08-20 | S | D | 644 | $42.57 | 90,409 | D | — | — | (F1) The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person. (F3) This transaction was executed in multiple trades at prices ranging from $ 42.55 to $ 42.58. 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. |
| 4 | Derivative | Employee Stock Option (right to buy) | 2021-08-20 | M | D | 7,500 | $0.00 | 40,000 | D | $21.55 · — to 2029-01-22 | 7,500 Ordinary Shares | (F4) 25% of the option vested and became exercisable on 1/22/2020, and the remaining shares vest monthly over three years thereafter. |