Form 4 for PEN Penumbra Inc
Accepted 2023-03-03 00:00:00 ET · period of report 2023-03-01 · accession 0001321732-23-000040 · 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 | 2023-03-03 | 2023-03-01 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | S - Sale+OE | $258.62 | -600 | 70.0K | -0.8% | -$155.2K |
| D | 2023-03-03 | 2023-03-01 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | M - OptEx | $22.04 | +600 | 70.6K | +0.9% | +$13.2K |
| D | 2023-03-03 | 2023-03-01 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | M - OptEx | $0.00 | -600 | 8,850 | -6% | $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 | 2023-03-01 | S | D | 132 | $258.22 | 70,293 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $257.84 to $258.77. 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 | 2023-03-01 | M | A | 600 | $22.04 | 70,560 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 3 | Common | Common Stock | 2023-03-01 | S | D | 98 | $257.41 | 70,425 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $256.94 to $257.72. 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 | 2023-03-01 | S | D | 56 | $259.88 | 69,960 | D | — | — | (F7) This transaction was executed in multiple trades at prices ranging from $259.85 to $260.02. 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 | 2023-03-01 | S | D | 37 | $256.22 | 70,523 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $255.84 to $256.73. 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 | 2023-03-01 | S | D | 277 | $259.31 | 70,016 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $258.84 to $259.73. 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) | 2023-03-01 | M | D | 600 | $0.00 | 8,850 | D | $22.04 · — to 2025-08-11 | 600 Common Stock | (F8) All shares are vested and exercisable. |