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Penumbra Inc — Director's Dealing 2017
Feb 3, 2017
30612_dirs_2017-02-03_8863ac8b-00a6-423b-b6a2-5bc7660aaf16.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Penumbra Inc (PEN)
CIK: 0001321732
Period of Report: 2017-02-01
Reporting Person: Kosaraju Sridhar (CFO and Head of Strategy)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-02-01 | Common Stock | S | 1889 | $70.75 | Disposed | 512718 | Indirect |
| 2017-02-01 | Common Stock | S | 400 | $71.54 | Disposed | 512318 | Indirect |
| 2017-02-02 | Common Stock | S | 1812 | $70.36 | Disposed | 510506 | Indirect |
| 2017-02-03 | Common Stock | S | 3699 | $70.45 | Disposed | 506807 | 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 $70.35 to $71.30. 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: A portion of these shares is subject to vesting.
F4: Shares are held by the Kosaraju Family Trust.
F5: This transaction was executed in multiple trades at prices ranging from $71.40 to $71.70. 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.
F6: This transaction was executed in multiple trades at prices ranging from $70.00 to $70.80. 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: This transaction was executed in multiple trades at prices ranging from $70.00 to $70.95. 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.