Form 4 for PEN Penumbra Inc
Accepted 2023-10-13 00:00:00 ET · period of report 2023-10-11 · accession 0001321732-23-000122 · 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 | 2023-10-13 | 2023-10-11 | PEN | Elsesser Adam | CEO, Pres, Dir | S - Sale+OE | $215.76 | -9,670 | 5,852 | -62% | -$2.09M |
| D | 2023-10-13 | 2023-10-11 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $7.75 | +9,670 | 9,670 | New | +$74.9K |
| D | 2023-10-13 | 2023-10-11 | PEN | Elsesser Adam | CEO, Pres, Dir | M - OptEx | $0.00 | -9,670 | 0 | -100% | $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 | 2023-10-11 | S | D | 197 | $230.32 | 0 | D | — | — | (F8) This transaction was executed in multiple trades at prices ranging from $230.23 to $230.33. 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 | 2023-10-11 | S | D | 96 | $225.40 | 197 | D | — | — | |
| 3 | Common | Common Stock | 2023-10-11 | S | D | 126 | $224.78 | 293 | D | — | — | (F7) This transaction was executed in multiple trades at prices ranging from $224.45 to $224.92. 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 | 2023-10-11 | S | D | 188 | $223.50 | 419 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $223.33 to $223.96. 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. |
| 5 | Common | Common Stock | 2023-10-11 | S | D | 19 | $222.62 | 607 | D | — | — | |
| 6 | Common | Common Stock | 2023-10-11 | S | D | 43 | $218.79 | 626 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $218.19 to $218.93. 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 | 2023-10-11 | S | D | 236 | $217.42 | 669 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $217.05 to $217.66. 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. |
| 8 | Common | Common Stock | 2023-10-11 | S | D | 90 | $217.00 | 905 | D | — | — | |
| 9 | Common | Common Stock | 2023-10-11 | S | D | 4,857 | $215.40 | 995 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $215.10 to $215.67. 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 | 2023-10-11 | M | A | 9,670 | $7.75 | 9,670 | D | — | — | |
| 11 | Common | Common Stock | 2023-10-11 | S | D | 3,818 | $214.35 | 5,852 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $214.03 to $215.00. 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. |
| 12 | Derivative | Stock Option (right to buy) | 2023-10-11 | M | D | 9,670 | $0.00 | 0 | D | $7.75 · — to 2024-03-20 | 9,670 Common Stock | (F10) All shares are vested and exercisable. |