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Penumbra Inc — Director's Dealing 2015
Sep 17, 2015
30612_dirs_2015-09-17_bbb5db89-ae8e-4c7b-983f-a04cc383913b.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: Elsesser Adam (Director, Chairman, CEO and President)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1235838 | Direct |
| Common Stock | 673 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series B Preferred Stock | $ | Common Stock (1000) | Direct | ||
| Series B Preferred Stock | $ | Common Stock (13471) | Indirect | ||
| Stock Option (right to buy) | $1.26 | 2017-04-30 | Common Stock (200000) | Direct | |
| Stock Option (right to buy) | $1.26 | 2017-09-30 | Common Stock (100000) | Direct | |
| Stock Option (right to buy) | $7.75 | 2024-03-20 | Common Stock (5000) | Direct | |
| Stock Option (right to buy) | $7.75 | 2024-03-20 | Common Stock (145000) | Direct |
Footnotes
F1: Shares are held by the Siegel/Elsesser Revocable Trust.
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.
F4: All shares are vested and exercisable.
F5: All shares are immediately exercisable. The original option grant vests over four years, with 25% of the shares vesting on March 21, 2015 and 1/48 vesting each month thereafter.