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Penumbra Inc — Director's Dealing 2019
Apr 15, 2019
30612_dirs_2019-04-15_5fb394fe-d5a4-43af-a713-5beb3701041b.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: 2019-04-11
Reporting Person: Elsesser Adam (Director, Chairman, CEO and President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-04-11 | Common Stock | S | 6288 | $141.38 | Disposed | 1115694 | Indirect |
| 2019-04-11 | Common Stock | S | 1412 | $141.97 | Disposed | 1114282 | Indirect |
| 2019-04-11 | Common Stock | S | 200 | $143.36 | Disposed | 1114082 | Indirect |
| 2019-04-11 | Common Stock | S | 100 | $144.86 | Disposed | 1113982 | 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 $140.86 to $141.79. 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: Shares are held by the Siegel/Elsesser Revocable Trust.
F4: This transaction was executed in multiple trades at prices ranging from $141.86 to $142.27. 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 $142.95 to $143.77. 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: The Reporting Person previously held shares both directly and indirectly through his revocable family trust. 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.