Form 4 for PEN Penumbra Inc
Accepted 2023-05-16 00:00:00 ET · period of report 2023-05-12 · accession 0001321732-23-000068 · 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 | 2023-05-16 | 2023-05-12 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | M - OptEx | $22.04 | +652 | 70.4K | +0.9% | +$14.4K |
| DM | 2023-05-16 | 2023-05-12 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | S - Sale+OE | $319.67 | -1,500 | 69.4K | -2% | -$479.5K |
| D | 2023-05-16 | 2023-05-15 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | F - Tax | $314.92 | -1,688 | 67.2K | -2% | -$531.6K |
| D | 2023-05-16 | 2023-05-12 | PEN | Roberts Johanna | EVP, Gen. Counsel, Sec | M - OptEx | $0.00 | -652 | 7,598 | -8% | $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 | 2023-05-12 | M | A | 652 | $22.04 | 70,425 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 2 | Common | Common Stock | 2023-05-12 | S | D | 375 | $317.32 | 70,050 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $316.84 to $317.71. 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 | 2023-05-12 | S | D | 436 | $318.20 | 69,614 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $317.87 to $318.76. 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 | 2023-05-12 | S | D | 187 | $319.24 | 69,427 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $318.90 to $319.79. 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 | 2023-05-15 | F | D | 1,688 | $314.92 | 67,237 | D | — | — | (F1) A portion of these shares is subject to vesting. |
| 6 | Common | Common Stock | 2023-05-12 | S | D | 25 | $322.38 | 69,386 | D | — | — | (F7) This transaction was executed in multiple trades at prices ranging from $321.89 to $322.73. 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 | Common | Common Stock | 2023-05-12 | S | D | 447 | $322.95 | 68,939 | D | — | — | (F8) This transaction was executed in multiple trades at prices ranging from $322.87 to $323.41. 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 | 2023-05-12 | S | D | 14 | $324.07 | 68,925 | D | — | — | (F9) This transaction was executed in multiple trades at prices ranging from $324.00 to $324.10. 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. |
| 9 | Common | Common Stock | 2023-05-12 | S | D | 16 | $320.13 | 69,411 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $320.00 to $320.50. 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) | 2023-05-12 | M | D | 652 | $0.00 | 7,598 | D | $22.04 · — to 2025-08-11 | 652 Common Stock | (F11) All shares are vested and exercisable. |