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Penumbra Inc — Director's Dealing 2021
Nov 15, 2021
30612_dirs_2021-11-15_a86d9f03-cea2-46b8-b961-98d9da247e06.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: 2021-11-11
Reporting Person: Elsesser Adam (Director, CEO and President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-11 | Common Stock | M | 14500 | $7.75 | Acquired | 14500 | Direct |
| 2021-11-11 | Common Stock | S | 699 | $259.11 | Disposed | 13801 | Direct |
| 2021-11-11 | Common Stock | S | 901 | $259.96 | Disposed | 12900 | Direct |
| 2021-11-11 | Common Stock | S | 700 | $261.01 | Disposed | 12200 | Direct |
| 2021-11-11 | Common Stock | S | 679 | $262.07 | Disposed | 11521 | Direct |
| 2021-11-11 | Common Stock | S | 700 | $262.89 | Disposed | 10821 | Direct |
| 2021-11-11 | Common Stock | S | 1071 | $264.17 | Disposed | 9750 | Direct |
| 2021-11-11 | Common Stock | S | 6532 | $264.91 | Disposed | 3218 | Direct |
| 2021-11-11 | Common Stock | S | 2005 | $266.08 | Disposed | 1213 | Direct |
| 2021-11-11 | Common Stock | S | 1113 | $266.88 | Disposed | 100 | Direct |
| 2021-11-11 | Common Stock | S | 100 | $267.65 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-11-11 | Stock Option (right to buy) | $7.75 | M | 14500 | Disposed | 2024-03-20 | Common Stock (14500.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 957582 | 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 $258.55 to $259.50. 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 $259.55 to $260.49. 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: This transaction was executed in multiple trades at prices ranging from $260.70 to $261.44. 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.
F5: This transaction was executed in multiple trades at prices ranging from $261.71 to $262.38. 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.
F6: This transaction was executed in multiple trades at prices ranging from $262.69 to $263.16. 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.
F7: This transaction was executed in multiple trades at prices ranging from $263.56 to $264.52. 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.
F8: This transaction was executed in multiple trades at prices ranging from $264.59 to $265.52. 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.
F9: This transaction was executed in multiple trades at prices ranging from $265.55 to $266.51. 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.
F10: This transaction was executed in multiple trades at prices ranging from $266.56 to $267.53. 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.
F11: Shares are held by the Siegel/Elsesser Revocable Trust.
F12: All shares are vested and exercisable.