Penumbra Inc — Director's Dealing 2015

Sep 17, 2015

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Penumbra Inc (PEN)
CIK: 0001321732
Period of Report: 2015-09-17

Reporting Person: Bose Arani (Director, Chief Innovator)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	732191	Direct
Common Stock	250000	Indirect
Common Stock	250000	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series B Preferred Stock	$		Common Stock (13471)		Direct
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

Footnotes

F1: Shares are held by the Arani Bose 2009 Family Trust.

F2: Shares are held by the Shumita Bose 2009 Family Trust.

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: All shares are vested and exercisable.