Form 4 for PEN Penumbra Inc
Accepted 2023-06-14 00:00:00 ET · period of report 2023-06-12 · accession 0001321732-23-000076 · 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 | 2023-06-14 | 2023-06-12 | PEN | Elsesser Adam | CEO, Pres, Dir | S - Sale+OE | $324.49 | -9,666 | 5,663 | -63% | -$3.14M |
| D | 2023-06-14 | 2023-06-12 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $7.75 | +9,666 | 9,666 | New | +$74.9K |
| D | 2023-06-14 | 2023-06-12 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $0.00 | -9,666 | 38.7K | -20% | $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 | 2023-06-12 | S | D | 1,568 | $322.23 | 7,180 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $321.72 to $322.66. 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 | 2023-06-12 | S | D | 719 | $323.17 | 6,461 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $322.89 to $323.65. 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 | 2023-06-12 | S | D | 918 | $321.34 | 8,748 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $320.72 to $321.71. 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. |
| 4 | Common | Common Stock | 2023-06-12 | M | A | 9,666 | $7.75 | 9,666 | D | — | — | |
| 5 | Common | Common Stock | 2023-06-12 | S | D | 759 | $327.17 | 0 | D | — | — | (F8) This transaction was executed in multiple trades at prices ranging from $326.74 to $327.63. 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 | Common | Common Stock | 2023-06-12 | S | D | 1,542 | $326.36 | 759 | D | — | — | (F7) This transaction was executed in multiple trades at prices ranging from $325.76 to $326.70. 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. |
| 7 | Common | Common Stock | 2023-06-12 | S | D | 3,362 | $325.25 | 2,301 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $324.73 to $325.71. 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. |
| 8 | Common | Common Stock | 2023-06-12 | S | D | 798 | $324.33 | 5,663 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $323.80 to $324.71. 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. |
| 9 | Derivative | Stock Option (right to buy) | 2023-06-12 | M | D | 9,666 | $0.00 | 38,668 | D | $7.75 · — to 2024-03-20 | 9,666 Common Stock | (F10) All shares are vested and exercisable. |