Form 4 for PEN Penumbra Inc
Accepted 2021-09-15 00:00:00 ET · period of report 2021-09-13 · accession 0001321732-21-000080 · 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 | 2021-09-15 | 2021-09-13 | PEN | Elsesser Adam | CEO, Pres, Dir | S - Sale+OE | $280.42 | -14.5K | 13.9K | -51% | -$4.07M |
| D | 2021-09-15 | 2021-09-13 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $7.75 | +14.5K | 14.5K | New | +$112.4K |
| D | 2021-09-15 | 2021-09-13 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $0.00 | -14.5K | 116.0K | -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 | 2021-09-13 | S | D | 1,234 | $283.53 | 0 | D | — | — | (F9) This transaction was executed in multiple trades at prices ranging from $283.09 to $283.84. 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. |
| 2 | Common | Common Stock | 2021-09-13 | S | D | 1,666 | $282.54 | 1,234 | D | — | — | (F8) This transaction was executed in multiple trades at prices ranging from $282.11 to $283.01. 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. |
| 3 | Common | Common Stock | 2021-09-13 | S | D | 2,100 | $281.57 | 2,900 | D | — | — | (F7) This transaction was executed in multiple trades at prices ranging from $281.07 to $281.97. 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 | 2021-09-13 | S | D | 2,800 | $280.42 | 5,000 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $280.09 to $280.91. 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 | 2021-09-13 | S | D | 3,702 | $279.60 | 7,800 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $279.07 to $280.05. 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 | 2021-09-13 | S | D | 502 | $277.60 | 13,398 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $277.17 to $278.02. 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. |
| 7 | Common | Common Stock | 2021-09-13 | S | D | 1,896 | $278.81 | 11,502 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $278.12 to $279.07. 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 | 2021-09-13 | M | A | 14,500 | $7.75 | 14,500 | D | — | — | |
| 9 | Common | Common Stock | 2021-09-13 | S | D | 600 | $276.53 | 13,900 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $276.07 to $276.91. 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 | Derivative | Stock Option (right to buy) | 2021-09-13 | M | D | 14,500 | $0.00 | 116,000 | D | $7.75 · — to 2024-03-20 | 14,500 Common Stock | (F11) All shares are vested and exercisable. |