Form 4 for PEN Penumbra Inc
Accepted 2022-01-05 00:00:00 ET · period of report 2022-01-03 · accession 0001321732-22-000006 · 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 | 2022-01-05 | 2022-01-03 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | S - Sale+OE | $281.57 | -3,250 | 58.2K | -5% | -$915.1K |
| D | 2022-01-05 | 2022-01-03 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | M - OptEx | $22.04 | +3,250 | 60.9K | +6% | +$71.6K |
| D | 2022-01-05 | 2022-01-03 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | M - OptEx | $0.00 | -3,250 | 30.2K | -10% | $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 | 2022-01-03 | S | D | 643 | $280.06 | 59,731 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $279.75 to $280.32. 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. |
| 2 | Common | Common Stock | 2022-01-03 | S | D | 500 | $285.24 | 57,724 | D | — | — | (F9) This transaction was executed in multiple trades at prices ranging from $285.06 to $285.38. 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. (F1) A portion of these shares is subject to vesting. |
| 3 | Common | Common Stock | 2022-01-03 | M | A | 3,250 | $22.04 | 60,874 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 4 | Common | Common Stock | 2022-01-03 | S | D | 300 | $278.02 | 60,574 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $277.45 to $278.42. 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 | 2022-01-03 | S | D | 200 | $278.94 | 60,374 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $278.70 to $279.18. 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 | 2022-01-03 | S | D | 100 | $285.95 | 57,624 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 7 | Common | Common Stock | 2022-01-03 | S | D | 758 | $281.16 | 58,973 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $280.61 to $281.40. 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 | 2022-01-03 | S | D | 449 | $281.94 | 58,524 | D | — | — | (F7) This transaction was executed in multiple trades at prices ranging from $281.50 to $282.39. 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 | 2022-01-03 | S | D | 200 | $282.53 | 58,324 | D | — | — | (F8) This transaction was executed in multiple trades at prices ranging from $282.51 to $282.64. 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 | Common | Common Stock | 2022-01-03 | S | D | 100 | $283.89 | 58,224 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 11 | Derivative | Stock Option (right to buy) | 2022-01-03 | M | D | 3,250 | $0.00 | 30,200 | D | $22.04 · — to 2025-08-11 | 3,250 Common Stock | (F10) All shares are vested and exercisable. |