Penumbra Inc — Director's Dealing 2020

Feb 3, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Penumbra Inc (PEN)
CIK: 0001321732
Period of Report: 2020-01-30

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-01-30	Common Stock	M	10000	$3.98	Acquired	22332	Direct
2020-01-30	Common Stock	S	3842	$175.10	Disposed	18490	Direct
2020-01-30	Common Stock	S	4159	$176.04	Disposed	14331	Direct
2020-01-30	Common Stock	S	500	$176.75	Disposed	13831	Direct
2020-01-30	Common Stock	S	1399	$177.99	Disposed	12432	Direct
2020-01-30	Common Stock	S	100	$178.40	Disposed	12332	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-01-30	Stock Option (right to buy)	$3.98	M	10000	Disposed	2021-06-12	Common Stock (10000.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	104807	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 $174.40 to $175.38. 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: This transaction was executed in multiple trades at prices ranging from $175.49 to $176.39. 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.

F4: This transaction was executed in multiple trades at prices ranging from $176.48 to $177.25. 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 $177.54 to $178.34. 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: Trust of Richard E. Koch and Lynn D. Rothman.

F7: All shares are vested and exercisable.