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: Davis Daniel Donen (President, North America)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2015-09-23	Common Stock	C	301	—	Acquired	75301	Direct
2015-09-23	Common Stock	C	8143	—	Acquired	83444	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2015-03-23	Stock Option (right to buy)	$12.36	A	200000	Acquired	2025-03-22	Common Stock (200000)	Direct
2015-09-23	Series B Preferred Stock	$	C	301	Disposed		Common Stock (301)	Direct
2015-09-23	Series C Preferred Stock	$	C	8143	Disposed		Common Stock (8143)	Direct

Footnotes

F1: The Series B and Series C 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.

F2: A portion of these shares is subject to vesting.

F3: The option was granted prior to the date on which the Reporting Person became subject to Section 16. The original option grant vests over four years, with 25% of the shares vesting on January 26, 2016 and 1/48 vesting each month thereafter and was previously reported on Form 3.