Form 4 for PEN Penumbra Inc
Accepted 2021-09-03 00:00:00 ET · period of report 2021-09-01 · accession 0001321732-21-000076 · 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 | 2021-09-03 | 2021-09-01 | PEN | Rothman Lynn | EVP, Chief Business Off | S - Sale+OE | $271.81 | -5,300 | 32.6K | -14% | -$1.44M |
| D | 2021-09-03 | 2021-09-01 | PEN | Rothman Lynn | EVP, Chief Business Off | M - OptEx | $22.04 | +5,300 | 37.9K | +16% | +$116.8K |
| D | 2021-09-03 | 2021-09-01 | PEN | Rothman Lynn | EVP, Chief Business Off | M - OptEx | $0.00 | -5,300 | 39.4K | -12% | $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 | 2021-09-01 | S | D | 300 | $273.55 | 33,343 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $273.28 to $273.81. 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 | 2021-09-01 | S | D | 100 | $273.00 | 33,643 | D | — | — | |
| 3 | Common | Common Stock | 2021-09-01 | S | D | 1,994 | $271.63 | 33,743 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $271.27 to $272.22. 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 | 2021-09-01 | S | D | 2,200 | $270.80 | 35,737 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $270.26 to $271.16. 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 | 2021-09-01 | M | A | 5,300 | $22.04 | 37,937 | D | — | — | |
| 6 | Common | Common Stock | 2021-09-01 | S | D | 6 | $275.80 | 32,637 | D | — | — | |
| 7 | Common | Common Stock | 2021-09-01 | S | D | 700 | $274.58 | 32,643 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $274.29 to $274.99. 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 | Derivative | Stock Option (right to buy) | 2021-09-01 | M | D | 5,300 | $0.00 | 39,400 | D | $22.04 · — to 2025-08-11 | 5,300 Common Stock | (F7) All shares are vested and exercisable. |