Form 4 for PEN Penumbra Inc
Accepted 2021-11-10 00:00:00 ET · period of report 2021-11-08 · accession 0001321732-21-000110 · 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 | 2021-11-10 | 2021-11-08 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | M - OptEx | $22.04 | +2,500 | 53.8K | +5% | +$55.1K |
| DM | 2021-11-10 | 2021-11-08 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | S - Sale+OE | $279.21 | -2,500 | 52.4K | -5% | -$698.0K |
| D | 2021-11-10 | 2021-11-08 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | M - OptEx | $0.00 | -2,500 | 40.0K | -6% | $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 | 2021-11-08 | M | A | 2,500 | $22.04 | 53,824 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 2 | Common | Common Stock | 2021-11-08 | S | D | 788 | $275.11 | 53,036 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $275.00 to $275.98. 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 | 2021-11-08 | S | D | 212 | $276.64 | 52,824 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $276.02 to $276.81. 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. (F1) A portion of these shares is subject to vesting. |
| 4 | Common | Common Stock | 2021-11-08 | S | D | 200 | $279.52 | 52,624 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $279.11 to $279.89. 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. |
| 5 | Common | Common Stock | 2021-11-08 | S | D | 100 | $284.37 | 51,324 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 6 | Common | Common Stock | 2021-11-08 | S | D | 500 | $281.43 | 51,924 | D | — | — | (F7) This transaction was executed in multiple trades at prices ranging from $281.24 to $281.76. 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. |
| 7 | Common | Common Stock | 2021-11-08 | S | D | 300 | $282.48 | 51,624 | D | — | — | (F8) This transaction was executed in multiple trades at prices ranging from $282.21 to $282.97. 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. (F1) A portion of these shares is subject to vesting. |
| 8 | Common | Common Stock | 2021-11-08 | S | D | 200 | $283.45 | 51,424 | D | — | — | (F9) This transaction was executed in multiple trades at prices ranging from $283.14 to $283.75. 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. |
| 9 | Common | Common Stock | 2021-11-08 | S | D | 200 | $280.56 | 52,424 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $280.15 to $280.98. 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. |
| 10 | Derivative | Stock Option (right to buy) | 2021-11-08 | M | D | 2,500 | $0.00 | 40,000 | D | $22.04 · — to 2025-08-11 | 2,500 Common Stock | (F10) All shares are vested and exercisable. |