Form 4 for PEN Penumbra Inc
Accepted 2022-01-13 00:00:00 ET · period of report 2022-01-11 · accession 0001321732-22-000012 · 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 | 2022-01-13 | 2022-01-11 | PEN | Elsesser Adam | CEO, Pres, Dir | S - Sale+OE | $253.34 | -14.5K | 803 | -95% | -$3.67M |
| D | 2022-01-13 | 2022-01-11 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $7.75 | +14.5K | 14.5K | New | +$112.4K |
| D | 2022-01-13 | 2022-01-11 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $0.00 | -14.5K | 58.0K | -20% | $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 | 2022-01-11 | S | D | 600 | $249.06 | 10,700 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $248.65 to $249.39. 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. |
| 2 | Common | Common Stock | 2022-01-11 | S | D | 100 | $249.78 | 10,600 | D | — | — | |
| 3 | Common | Common Stock | 2022-01-11 | S | D | 1,327 | $251.24 | 9,273 | D | — | — | (F7) This transaction was executed in multiple trades at prices ranging from $250.67 to $251.52. 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. |
| 4 | Common | Common Stock | 2022-01-11 | S | D | 1,253 | $252.07 | 8,020 | D | — | — | (F8) This transaction was executed in multiple trades at prices ranging from $251.60 to $252.47.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 | 2022-01-11 | S | D | 500 | $245.78 | 13,500 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $245.64 to $245.97. 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. |
| 6 | Common | Common Stock | 2022-01-11 | S | D | 1,500 | $247.19 | 12,000 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $246.63 to $247.46. 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 | 2022-01-11 | S | D | 500 | $245.15 | 14,000 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $244.59 to $245.55.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 | 2022-01-11 | M | A | 14,500 | $7.75 | 14,500 | D | — | — | |
| 9 | Common | Common Stock | 2022-01-11 | S | D | 803 | $258.63 | 0 | D | — | — | (F14) This transaction was executed in multiple trades at prices ranging from $258.59 to $258.71.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 | 2022-01-11 | S | D | 700 | $247.87 | 11,300 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $247.62 to $248.22. 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 | 2022-01-11 | S | D | 800 | $253.01 | 7,220 | D | — | — | (F9) This transaction was executed in multiple trades at prices ranging from $252.66 to $253.53.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. |
| 12 | Common | Common Stock | 2022-01-11 | S | D | 100 | $254.06 | 7,120 | D | — | — | |
| 13 | Common | Common Stock | 2022-01-11 | S | D | 500 | $254.95 | 6,620 | D | — | — | (F10) This transaction was executed in multiple trades at prices ranging from $254.84 to $255.14.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. |
| 14 | Common | Common Stock | 2022-01-11 | S | D | 500 | $256.17 | 6,120 | D | — | — | (F11) This transaction was executed in multiple trades at prices ranging from $255.91 to $256.55.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. |
| 15 | Common | Common Stock | 2022-01-11 | S | D | 3,108 | $257.04 | 3,012 | D | — | — | (F12) This transaction was executed in multiple trades at prices ranging from $256.64 to $257.42.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. |
| 16 | Common | Common Stock | 2022-01-11 | S | D | 2,209 | $258.10 | 803 | D | — | — | (F13) This transaction was executed in multiple trades at prices ranging from $257.61 to $258.58.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. |
| 17 | Derivative | Stock Option (right to buy) | 2022-01-11 | M | D | 14,500 | $0.00 | 58,000 | D | $7.75 · — to 2024-03-20 | 14,500 Common Stock | (F16) All shares are vested and exercisable. |