Form 4 for PEN Penumbra Inc
Accepted 2023-09-13 00:00:00 ET · period of report 2023-09-11 · accession 0001321732-23-000112 · 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 | 2023-09-13 | 2023-09-11 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $7.75 | +9,666 | 9,666 | New | +$74.9K |
| DM | 2023-09-13 | 2023-09-11 | PEN | Elsesser Adam | CEO, Pres, Dir | S - Sale+OE | $298.76 | -9,666 | 0 | -100% | -$2.89M |
| D | 2023-09-13 | 2023-09-11 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $0.00 | -9,666 | 9,670 | -50% | $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 | 2023-09-11 | M | A | 9,666 | $7.75 | 9,666 | D | — | — | |
| 2 | Common | Common Stock | 2023-09-11 | S | D | 800 | $294.47 | 8,866 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $293.89 to $294.86. 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 | 2023-09-11 | S | D | 800 | $295.56 | 8,066 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $295.12 to $295.85. 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 | 2023-09-11 | S | D | 961 | $296.54 | 7,105 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $295.96 to $296.86. 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 | 2023-09-11 | S | D | 735 | $297.30 | 6,370 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $296.91 to $297.78. 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. |
| 6 | Common | Common Stock | 2023-09-11 | S | D | 581 | $298.45 | 5,789 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $298.12 to $298.79. 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. |
| 7 | Common | Common Stock | 2023-09-11 | S | D | 2,023 | $299.48 | 3,766 | D | — | — | (F7) This transaction was executed in multiple trades at prices ranging from $299.00 to $299.87. 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 | 2023-09-11 | S | D | 2,207 | $300.45 | 1,559 | D | — | — | (F8) This transaction was executed in multiple trades at prices ranging from $299.91 to $300.88. 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 | Common | Common Stock | 2023-09-11 | S | D | 1,453 | $301.42 | 106 | D | — | — | (F9) This transaction was executed in multiple trades at prices ranging from $301.03 to $301.85. 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. |
| 10 | Common | Common Stock | 2023-09-11 | S | D | 106 | $301.91 | 0 | D | — | — | |
| 11 | Derivative | Stock Option (right to buy) | 2023-09-11 | M | D | 9,666 | $0.00 | 9,670 | D | $7.75 · — to 2024-03-20 | 9,666 Common Stock | (F11) All shares are vested and exercisable. |