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Penumbra Inc — Director's Dealing 2018
Jun 19, 2018
30612_dirs_2018-06-19_4ed2de47-4dfb-4259-b3c7-f25eb28f4204.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: 2018-06-15
Reporting Person: Evans Robert D. (EVP, Gen. Counsel & Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-06-15 | Common Stock | M | 2000 | $22.04 | Acquired | 12704 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-06-15 | Stock Option (right to buy) | $22.04 | M | 2000 | Disposed | 2025-08-11 | Common Stock (2000.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 162296 | Indirect |
Footnotes
F1: The Reporting Person holds shares both directly and indirectly through his revocable family trust as indicated on this Form. Any changes between direct holdings and indirect holdings through such trust are in transactions exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934 as mere changes in form of beneficial ownership.
F2: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010.
F3: Option grant vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter.