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Penumbra Inc — Director's Dealing 2019
May 3, 2019
30612_dirs_2019-05-03_699a4d41-0e10-4dfa-9403-1ca9d99e2678.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: 2019-05-01
Reporting Person: Kosaraju Sridhar (CFO and Head of Strategy)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-05-01 | Common Stock | S | 243 | $130.23 | Disposed | 187108 | Indirect |
| 2019-05-01 | Common Stock | S | 200 | $132.30 | Disposed | 186908 | Indirect |
| 2019-05-01 | Common Stock | S | 100 | $134.88 | Disposed | 186808 | Indirect |
| 2019-05-01 | Common Stock | S | 8 | $135.52 | Disposed | 186800 | Indirect |
| 2019-05-02 | Common Stock | S | 4449 | $130.04 | Disposed | 182351 | 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 $130.00 to $130.49. 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: Any changes between direct holdings and indirect holdings through the Kosaraju Family 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.
F4: Shares are held by the Kosaraju Family Trust.
F5: This transaction was executed in multiple trades at prices ranging from $132.15 to $132.44. 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 $130.00 to $130.32. 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.