Form 4 for PEN Penumbra Inc
Accepted 2023-04-05 00:00:00 ET · period of report 2023-04-03 · accession 0001321732-23-000048 · 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 | 2023-04-05 | 2023-04-03 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | S - Sale+OE | $278.14 | -600 | 70.2K | -0.8% | -$166.9K |
| D | 2023-04-05 | 2023-04-03 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | M - OptEx | $22.04 | +600 | 70.6K | +0.9% | +$13.2K |
| D | 2023-04-05 | 2023-04-03 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | M - OptEx | $0.00 | -600 | 8,250 | -7% | $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 | 2023-04-03 | S | D | 118 | $279.81 | 70,129 | D | — | — | (F8) This transaction was executed in multiple trades at prices ranging from $279.19 to $280.15. 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 | 2023-04-03 | S | D | 169 | $280.51 | 69,960 | D | — | — | (F9) This transaction was executed in multiple trades at prices ranging from $280.17 to $281.15. 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 | 2023-04-03 | M | A | 600 | $22.04 | 70,560 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 4 | Common | Common Stock | 2023-04-03 | S | D | 96 | $274.84 | 70,464 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $274.16 to $275.13. 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 | 2023-04-03 | S | D | 82 | $275.56 | 70,382 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $275.25 to $276.10. 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 | 2023-04-03 | S | D | 47 | $276.76 | 70,335 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $276.31 to $277.15. 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 | 2023-04-03 | S | D | 52 | $277.53 | 70,283 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $277.41 to $277.98. 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 | 2023-04-03 | S | D | 36 | $278.84 | 70,247 | D | — | — | (F7) This transaction was executed in multiple trades at prices ranging from $278.49 to $279.09. 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 | Derivative | Stock Option (right to buy) | 2023-04-03 | M | D | 600 | $0.00 | 8,250 | D | $22.04 · — to 2025-08-11 | 600 Common Stock | (F10) All shares are vested and exercisable. |