Form 4 for PEN Penumbra Inc
Accepted 2022-03-03 00:00:00 ET · period of report 2022-03-01 · accession 0001321732-22-000031 · 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 | 2022-03-03 | 2022-03-01 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | M - OptEx | $22.04 | +1,500 | 59.1K | +3% | +$33.1K |
| DM | 2022-03-03 | 2022-03-01 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | S - Sale+OE | $225.23 | -1,500 | 58.0K | -3% | -$337.8K |
| D | 2022-03-03 | 2022-03-01 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | M - OptEx | $0.00 | -1,500 | 28.7K | -5% | $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 | 2022-03-01 | M | A | 1,500 | $22.04 | 59,124 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 2 | Common | Common Stock | 2022-03-01 | S | D | 200 | $219.72 | 58,924 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $219.62 to $219.82. 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 | 2022-03-01 | S | D | 200 | $222.04 | 58,724 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $221.70 to $222.37. 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 | 2022-03-01 | S | D | 200 | $224.17 | 58,524 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $223.76 to $224.58. 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. (F1) A portion of these shares is subject to vesting. |
| 5 | Common | Common Stock | 2022-03-01 | S | D | 100 | $224.64 | 58,424 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 6 | Common | Common Stock | 2022-03-01 | S | D | 200 | $226.38 | 58,224 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $226.20 to $226.56. 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 | Common | Common Stock | 2022-03-01 | S | D | 100 | $229.99 | 57,624 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 8 | Common | Common Stock | 2022-03-01 | S | D | 310 | $228.22 | 57,724 | D | — | — | (F8) This transaction was executed in multiple trades at prices ranging from $227.92 to $228.43. 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 | 2022-03-01 | S | D | 190 | $227.24 | 58,034 | D | — | — | (F7) This transaction was executed in multiple trades at prices ranging from $227.07 to $227.44. 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. (F1) A portion of these shares is subject to vesting. |
| 10 | Derivative | Stock Option (right to buy) | 2022-03-01 | M | D | 1,500 | $0.00 | 28,700 | D | $22.04 · — to 2025-08-11 | 1,500 Common Stock | (F9) All shares are vested and exercisable. |