Form 4 for PEN Penumbra Inc
Accepted 2021-11-15 00:00:00 ET · period of report 2021-11-11 · accession 0001321732-21-000112 · 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 | 2021-11-15 | 2021-11-11 | PEN | Elsesser Adam | CEO, Pres, Dir | S - Sale+OE | $264.18 | -14.5K | 1,213 | -92% | -$3.83M |
| D | 2021-11-15 | 2021-11-11 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $7.75 | +14.5K | 14.5K | New | +$112.4K |
| D | 2021-11-15 | 2021-11-11 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $0.00 | -14.5K | 87.0K | -14% | $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 | 2021-11-11 | S | D | 700 | $261.01 | 12,200 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $260.70 to $261.44. 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 | 2021-11-11 | S | D | 679 | $262.07 | 11,521 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $261.71 to $262.38. 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 | 2021-11-11 | S | D | 700 | $262.89 | 10,821 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $262.69 to $263.16. 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. |
| 4 | Common | Common Stock | 2021-11-11 | S | D | 1,071 | $264.17 | 9,750 | D | — | — | (F7) This transaction was executed in multiple trades at prices ranging from $263.56 to $264.52. 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. |
| 5 | Common | Common Stock | 2021-11-11 | S | D | 6,532 | $264.91 | 3,218 | D | — | — | (F8) This transaction was executed in multiple trades at prices ranging from $264.59 to $265.52. 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. |
| 6 | Common | Common Stock | 2021-11-11 | S | D | 901 | $259.96 | 12,900 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $259.55 to $260.49. 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 | 2021-11-11 | S | D | 1,113 | $266.88 | 100 | D | — | — | (F10) This transaction was executed in multiple trades at prices ranging from $266.56 to $267.53. 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. |
| 8 | Common | Common Stock | 2021-11-11 | S | D | 100 | $267.65 | 0 | D | — | — | |
| 9 | Common | Common Stock | 2021-11-11 | M | A | 14,500 | $7.75 | 14,500 | D | — | — | |
| 10 | Common | Common Stock | 2021-11-11 | S | D | 699 | $259.11 | 13,801 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $258.55 to $259.50. 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. |
| 11 | Common | Common Stock | 2021-11-11 | S | D | 2,005 | $266.08 | 1,213 | D | — | — | (F9) This transaction was executed in multiple trades at prices ranging from $265.55 to $266.51. 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. |
| 12 | Derivative | Stock Option (right to buy) | 2021-11-11 | M | D | 14,500 | $0.00 | 87,000 | D | $7.75 · — to 2024-03-20 | 14,500 Common Stock | (F12) All shares are vested and exercisable. |