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Penumbra Inc — Director's Dealing 2015
Sep 17, 2015
30612_dirs_2015-09-17_6daf44ea-b11e-4087-af86-1a7511dbd564.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Penumbra Inc (PEN)
CIK: 0001321732
Period of Report: 2015-09-17
Reporting Person: Evans Robert D. (EVP, Gen. Counsel & Secretary)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 171296 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series B Preferred Stock | $ | Common Stock (1000) | Direct | ||
| Series B Preferred Stock | $ | Common Stock (45937) | Indirect | ||
| Series C Preferred Stock | $ | Common Stock (47022) | Indirect | ||
| Series D Preferred Stock | $ | Common Stock (27041) | Indirect | ||
| Stock Option (right to buy) | $22.04 | 2025-08-11 | Common Stock (50000) | Direct |
Footnotes
F1: A portion of these shares is subject to vesting.
F2: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010.
F3: 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.
F4: 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.
F5: The original option grant vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter.