Form 4 for PEN Penumbra Inc
Accepted 2021-08-12 00:00:00 ET · period of report 2021-08-11 · accession 0001321732-21-000066 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-08-12 | 2021-08-11 | PEN | Elsesser Adam | CEO, Pres, Dir | S - Sale+OE | $251.24 | -14.5K | 5,987 | -71% | -$3.64M |
| D | 2021-08-12 | 2021-08-11 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $7.75 | +14.5K | 14.5K | New | +$112.4K |
| D | 2021-08-12 | 2021-08-11 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $0.00 | -14.5K | 130.5K | -10% | $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 | Common Stock | 2021-08-11 | S | D | 2,611 | $248.35 | 10,485 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $247.79 to $248.76. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. |
| 2 | Common | Common Stock | 2021-08-11 | S | D | 100 | $257.28 | 0 | D | — | — | |
| 3 | Common | Common Stock | 2021-08-11 | S | D | 2,503 | $255.26 | 100 | D | — | — | (F12) This transaction was executed in multiple trades at prices ranging from $254.91 to $255.70. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. |
| 4 | Common | Common Stock | 2021-08-11 | S | D | 1,684 | $254.22 | 2,603 | D | — | — | (F11) This transaction was executed in multiple trades at prices ranging from $253.78 to $254.59. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. |
| 5 | Common | Common Stock | 2021-08-11 | S | D | 1,700 | $253.30 | 4,287 | D | — | — | (F10) This transaction was executed in multiple trades at prices ranging from $252.88 to $253.70. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. |
| 6 | Common | Common Stock | 2021-08-11 | M | A | 14,500 | $7.75 | 14,500 | D | — | — | |
| 7 | Common | Common Stock | 2021-08-11 | S | D | 500 | $245.36 | 14,000 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $244.78 to $245.74. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. |
| 8 | Common | Common Stock | 2021-08-11 | S | D | 200 | $246.21 | 13,800 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $246.00 to $246.41. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. |
| 9 | Common | Common Stock | 2021-08-11 | S | D | 704 | $247.25 | 13,096 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $246.88 to $247.75. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. |
| 10 | Common | Common Stock | 2021-08-11 | S | D | 1,985 | $249.16 | 8,500 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $248.79 to $249.66. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. |
| 11 | Common | Common Stock | 2021-08-11 | S | D | 1,088 | $250.19 | 7,412 | D | — | — | (F7) This transaction was executed in multiple trades at prices ranging from $249.82 to $250.74. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. |
| 12 | Common | Common Stock | 2021-08-11 | S | D | 1,125 | $251.29 | 6,287 | D | — | — | (F8) This transaction was executed in multiple trades at prices ranging from $250.80 to $251.73. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. |
| 13 | Common | Common Stock | 2021-08-11 | S | D | 300 | $252.12 | 5,987 | D | — | — | (F9) This transaction was executed in multiple trades at prices ranging from $251.87 to $252.41. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. |
| 14 | Derivative | Stock Option (right to buy) | 2021-08-11 | M | D | 14,500 | $0.00 | 130,500 | D | $7.75 · — to 2024-03-20 | 14,500 Common Stock | (F14) All shares are vested and exercisable. |