Form 4 for PEN Penumbra Inc
Accepted 2023-08-14 00:00:00 ET · period of report 2023-08-11 · accession 0001321732-23-000098 · 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 | 2023-08-14 | 2023-08-11 | PEN | Elsesser Adam | CEO, Pres, Dir | S - Sale+OE | $247.21 | -9,666 | 7,206 | -57% | -$2.39M |
| D | 2023-08-14 | 2023-08-11 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $7.75 | +9,666 | 9,666 | New | +$74.9K |
| D | 2023-08-14 | 2023-08-11 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $0.00 | -9,666 | 19.3K | -33% | $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 | 2023-08-11 | S | D | 154 | $248.14 | 0 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $248.03 to $248.14. 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 | 2023-08-11 | S | D | 7,052 | $247.37 | 154 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $247.00 to $247.96. 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 | 2023-08-11 | M | A | 9,666 | $7.75 | 9,666 | D | — | — | |
| 4 | Common | Common Stock | 2023-08-11 | S | D | 2,460 | $246.71 | 7,206 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $246.00 to $246.99. 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. |
| 5 | Derivative | Stock Option (right to buy) | 2023-08-11 | M | D | 9,666 | $0.00 | 19,336 | D | $7.75 · — to 2024-03-20 | 9,666 Common Stock | (F6) All shares are vested and exercisable. |