Form 4 for PEN Penumbra Inc
Accepted 2023-05-15 00:00:00 ET · period of report 2023-05-11 · accession 0001321732-23-000066 · 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 | 2023-05-15 | 2023-05-11 | PEN | Elsesser Adam | CEO, Pres, Dir | S - Sale+OE | $318.52 | -9,666 | 6,180 | -61% | -$3.08M |
| D | 2023-05-15 | 2023-05-11 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $7.75 | +9,666 | 9,666 | New | +$74.9K |
| D | 2023-05-15 | 2023-05-11 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $0.00 | -9,666 | 48.3K | -17% | $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 | 2023-05-11 | S | D | 431 | $320.50 | 0 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $320.19 to $320.99. 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 | 2023-05-11 | S | D | 2,002 | $319.44 | 431 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $319.12 to $319.99. 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. |
| 3 | Common | Common Stock | 2023-05-11 | S | D | 3,747 | $318.66 | 2,433 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $318.12 to $319.06. 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 | 2023-05-11 | M | A | 9,666 | $7.75 | 9,666 | D | — | — | |
| 5 | Common | Common Stock | 2023-05-11 | S | D | 3,486 | $317.61 | 6,180 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $317.11 to $318.03. 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 | Derivative | Stock Option (right to buy) | 2023-05-11 | M | D | 9,666 | $0.00 | 48,334 | D | $7.75 · — to 2024-03-20 | 9,666 Common Stock | (F7) All shares are vested and exercisable. |