AI assistant
Penumbra Inc — Director's Dealing 2016
Sep 6, 2016
30612_dirs_2016-09-06_35dac556-8e0f-4d9c-99cb-d54cff1b2206.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Penumbra Inc (PEN)
CIK: 0001321732
Period of Report: 2016-09-01
Reporting Person: Elsesser Adam (Director, Chairman, CEO and President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-09-01 | Common Stock | M | 10700 | $1.26 | Acquired | 1246538 | Direct |
| 2016-09-01 | Common Stock | S | 10100 | $69.85 | Disposed | 1236438 | Direct |
| 2016-09-01 | Common Stock | S | 600 | $70.24 | Disposed | 1235838 | Direct |
| 2016-09-02 | Common Stock | M | 15300 | $1.26 | Acquired | 1251138 | Direct |
| 2016-09-02 | Common Stock | S | 15300 | $70.42 | Disposed | 1235838 | Direct |
| 2016-09-06 | Common Stock | M | 35000 | $1.26 | Acquired | 1270838 | Direct |
| 2016-09-06 | Common Stock | S | 14178 | $70.88 | Disposed | 1256660 | Direct |
| 2016-09-06 | Common Stock | S | 20822 | $71.26 | Disposed | 1235838 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-09-01 | Stock Option (right to buy) | $1.26 | M | 10700 | Disposed | 2017-04-30 | Common Stock (10700.0) | Direct |
| 2016-09-02 | Stock Option (right to buy) | $1.26 | M | 15300 | Disposed | 2017-04-30 | Common Stock (15300.0) | Direct |
| 2016-09-06 | Stock Option (right to buy) | $1.26 | M | 35000 | Disposed | 2017-04-30 | Common Stock (35000.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 14144 | Indirect |
Footnotes
F1: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
F2: This transaction was executed in multiple trades at prices ranging from $69.21 to $70.20. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F3: This transaction was executed in multiple trades at prices ranging from $70.22 to $70.25. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F4: This transaction was executed in multiple trades at prices ranging from $69.97 to $70.70. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F5: This transaction was executed in multiple trades at prices ranging from $70.10 to $71.09. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F6: This transaction was executed in multiple trades at prices ranging from $71.10 to $71.36. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F7: Shares are held by the Siegel/Elsesser Revocable Trust.
F8: All shares are vested and exercisable.