Form 4 for PEN Penumbra Inc
Accepted 2021-10-14 00:00:00 ET · period of report 2021-10-11 · accession 0001321732-21-000096 · 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 | 2021-10-14 | 2021-10-11 | PEN | Elsesser Adam | CEO, Pres, Dir | S - Sale+OE | $254.60 | -14.5K | 11.0K | -57% | -$3.69M |
| D | 2021-10-14 | 2021-10-11 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $7.75 | +14.5K | 14.5K | New | +$112.4K |
| D | 2021-10-14 | 2021-10-11 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $0.00 | -14.5K | 101.5K | -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 | 2021-10-11 | S | D | 4,200 | $254.40 | 6,800 | D | — | — | (F1) This transaction is being reported late due to administrative oversight. (F4) This transaction was executed in multiple trades at prices ranging from $253.88 to $254.81. 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 | 2021-10-11 | S | D | 6,300 | $255.29 | 500 | D | — | — | (F1) This transaction is being reported late due to administrative oversight. (F5) This transaction was executed in multiple trades at prices ranging from $254.83 to $255.82. 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 | 2021-10-11 | S | D | 500 | $256.08 | 0 | D | — | — | (F1) This transaction is being reported late due to administrative oversight. (F6) This transaction was executed in multiple trades at prices ranging from $255.88 to $256.31. 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 | 2021-10-11 | M | A | 14,500 | $7.75 | 14,500 | D | — | — | (F1) This transaction is being reported late due to administrative oversight. |
| 5 | Common | Common Stock | 2021-10-11 | S | D | 3,500 | $253.39 | 11,000 | D | — | — | (F1) This transaction is being reported late due to administrative oversight. (F3) This transaction was executed in multiple trades at prices ranging from $252.83 to $253.82. 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 | Derivative | Stock Option (right to buy) | 2021-10-11 | M | D | 14,500 | $0.00 | 101,500 | D | $7.75 · — to 2024-03-20 | 14,500 Common Stock | (F1) This transaction is being reported late due to administrative oversight. (F8) All shares are vested and exercisable. |