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: Grewal Harpreet (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2015-09-23	Common Stock	A	2000	—	Acquired	2000	Direct
2015-09-23	Common Stock	C	9404	—	Acquired	11404	Direct
2015-09-23	Common Stock	C	2761	—	Acquired	14165	Direct
2015-09-23	Common Stock	C	1974	—	Acquired	16139	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2015-09-23	Series C Preferred Stock	$	C	9404	Disposed		Common Stock (9404)	Direct
2015-09-23	Series D Preferred Stock	$	C	2761	Disposed		Common Stock (2761)	Direct
2015-09-23	Series E Preferred Stock	$	C	1974	Disposed		Common Stock (1974)	Direct

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 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.