Form 4 for PEN Penumbra Inc
Accepted 2021-12-15 00:00:00 ET · period of report 2021-12-13 · accession 0001321732-21-000124 · 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 | 2021-12-15 | 2021-12-13 | PEN | Elsesser Adam | CEO, Pres, Dir | S - Sale+OE | $248.95 | -14.5K | 13.1K | -53% | -$3.61M |
| D | 2021-12-15 | 2021-12-13 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $7.75 | +14.5K | 14.5K | New | +$112.4K |
| D | 2021-12-15 | 2021-12-13 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $0.00 | -14.5K | 72.5K | -17% | $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 | 2021-12-13 | S | D | 1,563 | $252.66 | 1,800 | D | — | — | (F11) This transaction was executed in multiple trades at prices ranging from $252.20 to $253.20. 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 | 2021-12-13 | S | D | 1,800 | $253.51 | 0 | D | — | — | (F12) This transaction was executed in multiple trades at prices ranging from $253.21 to $253.94. 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. |
| 3 | Common | Common Stock | 2021-12-13 | M | A | 14,500 | $7.75 | 14,500 | D | — | — | |
| 4 | Common | Common Stock | 2021-12-13 | S | D | 200 | $243.68 | 14,300 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $243.20 to $244.15. 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 | 2021-12-13 | S | D | 3,312 | $245.69 | 9,788 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $245.23 to $246.09. 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 | 2021-12-13 | S | D | 1,213 | $246.74 | 8,575 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $246.29 to $247.05. 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 | 2021-12-13 | S | D | 1,312 | $247.69 | 7,263 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $247.22 to $248.14. 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 | 2021-12-13 | S | D | 297 | $249.07 | 6,966 | D | — | — | (F7) This transaction was executed in multiple trades at prices ranging from $249.00 to $249.19. 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 | Common | Common Stock | 2021-12-13 | S | D | 408 | $249.75 | 6,558 | D | — | — | (F8) This transaction was executed in multiple trades at prices ranging from $249.38 to $250.16. 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. |
| 10 | Common | Common Stock | 2021-12-13 | S | D | 1,000 | $251.48 | 3,363 | D | — | — | (F10) This transaction was executed in multiple trades at prices ranging from $251.21 to $251.87. 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 | 2021-12-13 | S | D | 2,195 | $250.85 | 4,363 | D | — | — | (F9) This transaction was executed in multiple trades at prices ranging from $250.34 to $251.17. 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 | Common | Common Stock | 2021-12-13 | S | D | 1,200 | $244.83 | 13,100 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $244.22 to $245.12. 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. |
| 13 | Derivative | Stock Option (right to buy) | 2021-12-13 | M | D | 14,500 | $0.00 | 72,500 | D | $7.75 · — to 2024-03-20 | 14,500 Common Stock | (F14) All shares are vested and exercisable. |