Form 4 for PEN Penumbra Inc
Accepted 2021-10-05 00:00:00 ET · period of report 2021-10-01 · accession 0001321732-21-000088 · 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 | 2021-10-05 | 2021-10-01 | PEN | Rothman Lynn | EVP, Chief Business Off | M - OptEx | $22.04 | +5,300 | 37.9K | +16% | +$116.8K |
| DM | 2021-10-05 | 2021-10-01 | PEN | Rothman Lynn | EVP, Chief Business Off | S - Sale+OE | $261.70 | -5,300 | 35.7K | -13% | -$1.39M |
| D | 2021-10-05 | 2021-10-01 | PEN | Rothman Lynn | EVP, Chief Business Off | M - OptEx | $0.00 | -5,300 | 34.1K | -13% | $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 | 2021-10-01 | M | A | 5,300 | $22.04 | 37,937 | D | — | — | |
| 2 | Common | Common Stock | 2021-10-01 | S | D | 400 | $259.03 | 37,537 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $258.63 to $259.55. 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. |
| 3 | Common | Common Stock | 2021-10-01 | S | D | 600 | $260.23 | 36,937 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $259.74 to $260.52. 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 | 2021-10-01 | S | D | 100 | $267.06 | 32,637 | D | — | — | |
| 5 | Common | Common Stock | 2021-10-01 | S | D | 1,758 | $262.10 | 33,898 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $261.79 to $262.53. 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 | 2021-10-01 | S | D | 1,061 | $262.97 | 32,837 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $262.63 to $263.61. 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 | 2021-10-01 | S | D | 100 | $263.64 | 32,737 | D | — | — | |
| 8 | Common | Common Stock | 2021-10-01 | S | D | 1,281 | $261.05 | 35,656 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $260.67 to $261.54. 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 | Derivative | Stock Option (right to buy) | 2021-10-01 | M | D | 5,300 | $0.00 | 34,100 | D | $22.04 · — to 2025-08-11 | 5,300 Common Stock | (F8) All shares are vested and exercisable. |