Penumbra Inc — Director's Dealing 2020

Jul 21, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Penumbra Inc (PEN)
CIK: 0001321732
Period of Report: 2020-07-17

Reporting Person: Rothman Lynn (EVP and Chief Business Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-07-17	Common Stock	M	4800	$3.98	Acquired	17132	Direct
2020-07-17	Common Stock	S	4800	$195.12	Disposed	12332	Direct
2020-07-20	Common Stock	M	4875	$3.98	Acquired	17207	Direct
2020-07-20	Common Stock	S	4875	$200.07	Disposed	12332	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-07-17	Stock Option (right to buy)	$3.98	M	4800	Disposed	2021-06-12	Common Stock (4800.0)	Direct
2020-07-20	Stock Option (right to buy)	$3.98	M	4875	Disposed	2021-06-12	Common Stock (4875.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	101807	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 $195.00 to $195.44. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, 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 $200.00 to $200.23. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.

F4: Shares are held by the Trust of Richard E. Koch and Lynn D. Rothman.

F5: All shares are vested and exercisable.