Form 4 for PEN Penumbra Inc
Accepted 2022-12-05 00:00:00 ET · period of report 2022-12-01 · accession 0001321732-22-000112 · 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 | 2022-12-05 | 2022-12-01 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | M - OptEx | $22.04 | +1,500 | 56.8K | +3% | +$33.1K |
| DM | 2022-12-05 | 2022-12-01 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | S - Sale+OE | $210.29 | -1,500 | 56.6K | -3% | -$315.4K |
| D | 2022-12-05 | 2022-12-01 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | M - OptEx | $0.00 | -1,500 | 15.2K | -9% | $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 | 2022-12-01 | M | A | 1,500 | $22.04 | 56,810 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 2 | Common | Common Stock | 2022-12-01 | S | D | 100 | $212.71 | 55,310 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 3 | Common | Common Stock | 2022-12-01 | S | D | 500 | $211.03 | 55,410 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $210.83 to $211.28. 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 | 2022-12-01 | S | D | 600 | $210.29 | 55,910 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $209.87 to $210.49. 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 | 2022-12-01 | S | D | 100 | $208.85 | 56,510 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 6 | Common | Common Stock | 2022-12-01 | S | D | 200 | $207.93 | 56,610 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $207.52 to $208.25. 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) | 2022-12-01 | M | D | 1,500 | $0.00 | 15,200 | D | $22.04 · — to 2025-08-11 | 1,500 Common Stock | (F6) All shares are vested and exercisable. |