AI assistant
Penumbra Inc — Director's Dealing 2015
Sep 17, 2015
30612_dirs_2015-09-17_8b49c1e5-66c8-46bb-afed-58ebd8a4ef5f.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: Davis Daniel Donen (President, North America)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 75000 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series B Preferred Stock | $ | Common Stock (301) | Direct | ||
| Series C Preferred Stock | $ | Common Stock (8143) | Direct | ||
| Stock Option (right to buy) | $3.98 | 2021-09-29 | Common Stock (65000) | Direct | |
| Stock Option (right to buy) | $4.49 | 2022-02-06 | Common Stock (2000) | Direct | |
| Stock Option (right to buy) | $12.36 | 2025-03-22 | Common Stock (200000) | Direct |
Footnotes
F1: A portion of these shares is subject to vesting.
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 immediately exercisable. The original option grant vests over four years, with 25% of the shares vesting on September 30, 2012 and 1/48 vesting each month thereafter.
F5: All shares are immediately exercisable. The original option grant vests over four years, with 25% of the shares vesting on January 1, 2013 and 1/48 vesting each month thereafter.
F6: 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.