Form 4 for PEN Penumbra Inc
Accepted 2021-09-03 00:00:00 ET · period of report 2021-09-01 · accession 0001321732-21-000078 · 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 | 2021-09-03 | 2021-09-01 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | M - OptEx | $22.04 | +2,500 | 53.8K | +5% | +$55.1K |
| DM | 2021-09-03 | 2021-09-01 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | S - Sale+OE | $272.02 | -2,500 | 51.3K | -5% | -$680.0K |
| D | 2021-09-03 | 2021-09-01 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | M - OptEx | $0.00 | -2,500 | 45.0K | -5% | $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 | M | A | 2,500 | $22.04 | 53,824 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 2 | Common | Common Stock | 2021-09-01 | S | D | 1,303 | $270.98 | 52,521 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $270.55 to $271.55. 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. (F1) A portion of these shares is subject to vesting. |
| 3 | Common | Common Stock | 2021-09-01 | S | D | 697 | $271.80 | 51,824 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $271.55 to $272.16. 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. (F1) A portion of these shares is subject to vesting. |
| 4 | Common | Common Stock | 2021-09-01 | S | D | 100 | $274.49 | 51,724 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 5 | Common | Common Stock | 2021-09-01 | S | D | 300 | $274.80 | 51,424 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $274.74 to $274.90. 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. (F1) A portion of these shares is subject to vesting. |
| 6 | Common | Common Stock | 2021-09-01 | S | D | 100 | $276.20 | 51,324 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 7 | Derivative | Stock Option (right to buy) | 2021-09-01 | M | D | 2,500 | $0.00 | 45,000 | D | $22.04 · — to 2025-08-11 | 2,500 Common Stock | (F6) All shares are vested and exercisable. |