Form 4 for PEN Penumbra Inc
Accepted 2021-12-03 00:00:00 ET · period of report 2021-12-01 · accession 0001321732-21-000122 · 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 | 2021-12-03 | 2021-12-01 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | M - OptEx | $22.04 | +1,750 | 54.6K | +3% | +$38.6K |
| DM | 2021-12-03 | 2021-12-01 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | S - Sale+OE | $246.97 | -1,750 | 54.2K | -3% | -$432.2K |
| D | 2021-12-03 | 2021-12-01 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | M - OptEx | $0.00 | -1,750 | 38.2K | -4% | $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 | 2021-12-01 | M | A | 1,750 | $22.04 | 54,574 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 2 | Common | Common Stock | 2021-12-01 | S | D | 100 | $244.32 | 54,474 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $244.05 to $244.53. 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. (F1) A portion of these shares is subject to vesting. |
| 3 | Common | Common Stock | 2021-12-01 | S | D | 507 | $248.35 | 52,824 | D | — | — | (F7) This transaction was executed in multiple trades at prices ranging from $248.08 to $248.54. 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. (F1) A portion of these shares is subject to vesting. |
| 4 | Common | Common Stock | 2021-12-01 | S | D | 500 | $246.35 | 53,724 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $246.13 to $246.78. 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 | 2021-12-01 | S | D | 393 | $247.70 | 53,331 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $247.45 to $247.94. 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. |
| 6 | Common | Common Stock | 2021-12-01 | S | D | 250 | $245.30 | 54,224 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $245.14 to $245.41. 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 | Derivative | Stock Option (right to buy) | 2021-12-01 | M | D | 1,750 | $0.00 | 38,250 | D | $22.04 · — to 2025-08-11 | 1,750 Common Stock | (F8) All shares are vested and exercisable. |