Form 4 for PEN Penumbra Inc
Accepted 2023-07-13 00:00:00 ET · period of report 2023-07-11 · accession 0001321732-23-000082 · 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 | 2023-07-13 | 2023-07-11 | PEN | Elsesser Adam | CEO, Pres, Dir | S - Sale+OE | $322.98 | -9,666 | 3,574 | -73% | -$3.12M |
| D | 2023-07-13 | 2023-07-11 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $7.75 | +9,666 | 9,666 | New | +$74.9K |
| D | 2023-07-13 | 2023-07-11 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $0.00 | -9,666 | 29.0K | -25% | $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 | 2023-07-11 | S | D | 1,570 | $322.19 | 3,974 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $321.80 to $322.71. 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. |
| 2 | Common | Common Stock | 2023-07-11 | S | D | 1,936 | $324.33 | 1,638 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $323.82 to $324.78. 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 | 2023-07-11 | S | D | 578 | $325.05 | 1,060 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $324.80 to $325.34. 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 | 2023-07-11 | S | D | 322 | $326.18 | 738 | D | — | — | (F7) This transaction was executed in multiple trades at prices ranging from $326.02 to $326.79. 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. |
| 5 | Common | Common Stock | 2023-07-11 | S | D | 738 | $327.15 | 0 | D | — | — | (F8) This transaction was executed in multiple trades at prices ranging from $326.80 to $327.66. 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. |
| 6 | Common | Common Stock | 2023-07-11 | M | A | 9,666 | $7.75 | 9,666 | D | — | — | |
| 7 | Common | Common Stock | 2023-07-11 | S | D | 4,122 | $321.32 | 5,544 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $320.80 to $321.78. 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 | 2023-07-11 | S | D | 400 | $323.47 | 3,574 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $323.30 to $323.63. 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. |
| 9 | Derivative | Stock Option (right to buy) | 2023-07-11 | M | D | 9,666 | $0.00 | 29,002 | D | $7.75 · — to 2024-03-20 | 9,666 Common Stock | (F10) All shares are vested and exercisable. |