AI assistant
Penumbra Inc — Director's Dealing 2015
Sep 17, 2015
30612_dirs_2015-09-17_59a85679-7f1c-4280-932a-fd1586551f8c.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Penumbra Inc (PEN)
CIK: 0001321732
Period of Report: 2015-09-17
Reporting Person: Wang Walter Charles (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 6125 | Direct |
| Common Stock | 15312 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series B Preferred Stock | $ | Common Stock (122500) | Direct | ||
| Series C Preferred Stock | $ | Common Stock (125392) | Direct | ||
| Series D Preferred Stock | $ | Common Stock (157791) | Direct | ||
| Series E Preferred Stock | $ | Common Stock (105263) | Direct | ||
| Series B Preferred Stock | $ | Common Stock (306250) | Indirect | ||
| Series C Preferred Stock | $ | Common Stock (313480) | Indirect | ||
| Series D Preferred Stock | $ | Common Stock (197239) | Indirect | ||
| Series E Preferred Stock | $ | Common Stock (131579) | Indirect |
Footnotes
F1: 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.
F2: The securities are preferred stock of the Issuer. These securities are immediately convertible upon the closing of the Issuer's initial public offering and do not have an expiration date.
F3: Each share of preferred stock will automatically convert on a 1-for-1 basis into common stock upon the closing of the Issuer's initial public offering.