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: Pray James Robert (President, International)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2015-06-28	Common Stock	M	150000	$0.57	Acquired	650000	Direct
2015-09-23	Common Stock	C	6125	—	Acquired	6431	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2015-06-28	Stock Option (right to buy)	$0.57	M	150000	Disposed	2016-03-31	Common Stock (150000)	Direct
2015-09-23	Series B Preferred Stock	$	C	6125	Disposed		Common Stock (6125)	Indirect

Footnotes

F1: These transactions occurred prior to the date on which the Reporting Person became subject to Section 16 and were reflected on the Reporting Person's Form 3.

F2: The Series B 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 the Pray Revocable Trust.

F4: All shares are fully vested.