Penumbra Inc — Director's Dealing 2015

Sep 23, 2015

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Penumbra Inc (PEN)
CIK: 0001321732
Period of Report: 2015-09-23

Reporting Person: Wang Walter Charles (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2015-09-23	Common Stock	A	2000	—	Acquired	8125	Direct
2015-09-23	Common Stock	C	122500	—	Acquired	130625	Direct
2015-09-23	Common Stock	C	125392	—	Acquired	256017	Direct
2015-09-23	Common Stock	C	157791	—	Acquired	413808	Direct
2015-09-23	Common Stock	C	105263	—	Acquired	519071	Direct
2015-09-23	Common Stock	C	306250	—	Acquired	321562	Indirect
2015-09-23	Common Stock	C	313480	—	Acquired	635042	Indirect
2015-09-23	Common Stock	C	197239	—	Acquired	832281	Indirect
2015-09-23	Common Stock	C	131579	—	Acquired	963860	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2015-09-23	Series B Preferred Stock	$	C	122500	Disposed		Common Stock (122500)	Direct
2015-09-23	Series C Preferred Stock	$	C	125392	Disposed		Common Stock (125392)	Direct
2015-09-23	Series D Preferred Stock	$	C	157791	Disposed		Common Stock (157791)	Direct
2015-09-23	Series E Preferred Stock	$	C	105263	Disposed		Common Stock (105263)	Direct
2015-09-23	Series B Preferred Stock	$	C	306250	Disposed		Common Stock (306250)	Indirect
2015-09-23	Series C Preferred Stock	$	C	313480	Disposed		Common Stock (313480)	Indirect
2015-09-23	Series D Preferred Stock	$	C	197239	Disposed		Common Stock (197239)	Indirect
2015-09-23	Series E Preferred Stock	$	C	131579	Disposed		Common Stock (131579)	Indirect

Footnotes

F1: Restricted stock vests as to 50% of the shares on the date of grant and 1/4 vests on each of September 30, 2015 and December 31, 2015.

F2: The Series B, Series C, Series D and Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis upon closing of the Issuer's initial public offering of Common Stock and had no expiration date.

F3: Shares are held by Wang Ventures LLC, of which Mr. Wang is a Member. To the extent Mr. Wang is deemed to have beneficial ownership of any shares held by Wang Ventures LLC, he disclaims beneficial ownership except to the extent of his pecuniary interest therein.