Form 4 for PEN Penumbra Inc
Accepted 2021-08-12 00:00:00 ET · period of report 2021-08-10 · accession 0001321732-21-000068 · 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 | 2021-08-12 | 2021-08-10 | PEN | Rothman Lynn | EVP, Chief Business Off | M - OptEx | $22.04 | +5,300 | 37.9K | +16% | +$116.8K |
| DM | 2021-08-12 | 2021-08-10 | PEN | Rothman Lynn | EVP, Chief Business Off | S - Sale+OE | $265.95 | -5,300 | 37.4K | -12% | -$1.41M |
| D | 2021-08-12 | 2021-08-10 | PEN | Rothman Lynn | EVP, Chief Business Off | M - OptEx | $0.00 | -5,300 | 44.7K | -11% | $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 | 2021-08-10 | M | A | 5,300 | $22.04 | 37,937 | D | — | — | |
| 2 | Common | Common Stock | 2021-08-10 | S | D | 100 | $275.28 | 32,637 | D | — | — | |
| 3 | Common | Common Stock | 2021-08-10 | S | D | 309 | $259.43 | 37,086 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $259.10 to $259.88. 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 | 2021-08-10 | S | D | 300 | $260.50 | 36,786 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $260.00 to $260.86. 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 | 2021-08-10 | S | D | 300 | $261.43 | 36,486 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $261.08 to $261.92. 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 | 2021-08-10 | S | D | 100 | $262.70 | 36,386 | D | — | — | |
| 7 | Common | Common Stock | 2021-08-10 | S | D | 300 | $263.40 | 36,086 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $263.22 to $263.70. 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. |
| 8 | Common | Common Stock | 2021-08-10 | S | D | 549 | $264.35 | 35,537 | D | — | — | (F7) This transaction was executed in multiple trades at prices ranging from $264.18 to $264.64. 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 | 2021-08-10 | S | D | 100 | $265.04 | 35,437 | D | — | — | |
| 10 | Common | Common Stock | 2021-08-10 | S | D | 500 | $266.58 | 34,937 | D | — | — | (F8) This transaction was executed in multiple trades at prices ranging from $266.20 to $266.89. 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 | 2021-08-10 | S | D | 300 | $268.27 | 34,637 | D | — | — | (F9) This transaction was executed in multiple trades at prices ranging from $268.02 to $268.49. 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 | 2021-08-10 | S | D | 600 | $269.29 | 34,037 | D | — | — | (F10) This transaction was executed in multiple trades at prices ranging from $269.00 to $269.58. 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 | 2021-08-10 | S | D | 400 | $270.18 | 33,637 | D | — | — | (F11) This transaction was executed in multiple trades at prices ranging from $270.00 to $270.59. 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. |
| 14 | Common | Common Stock | 2021-08-10 | S | D | 400 | $271.34 | 33,237 | D | — | — | (F12) This transaction was executed in multiple trades at prices ranging from $271.21 to $271.43. 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. |
| 15 | Common | Common Stock | 2021-08-10 | S | D | 300 | $272.06 | 32,937 | D | — | — | (F13) This transaction was executed in multiple trades at prices ranging from $272.00 to $272.19. 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. |
| 16 | Common | Common Stock | 2021-08-10 | S | D | 200 | $273.45 | 32,737 | D | — | — | (F14) This transaction was executed in multiple trades at prices ranging from $272.99 to $273.90. 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. |
| 17 | Common | Common Stock | 2021-08-10 | S | D | 542 | $258.43 | 37,395 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $257.98 to $258.84. 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. |
| 18 | Derivative | Stock Option (right to buy) | 2021-08-10 | M | D | 5,300 | $0.00 | 44,700 | D | $22.04 · — to 2025-08-11 | 5,300 Common Stock | (F16) All shares are vested and exercisable. |