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Penumbra Inc — Director's Dealing 2021
Oct 5, 2021
30612_dirs_2021-10-05_2f279756-31c5-4215-bdb5-0c5f9aa1e6ff.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: 2021-10-01
Reporting Person: Rothman Lynn (EVP and Chief Business Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-10-01 | Common Stock | M | 5300 | $22.04 | Acquired | 37937 | Direct |
| 2021-10-01 | Common Stock | S | 400 | $259.03 | Disposed | 37537 | Direct |
| 2021-10-01 | Common Stock | S | 600 | $260.23 | Disposed | 36937 | Direct |
| 2021-10-01 | Common Stock | S | 1281 | $261.05 | Disposed | 35656 | Direct |
| 2021-10-01 | Common Stock | S | 1758 | $262.10 | Disposed | 33898 | Direct |
| 2021-10-01 | Common Stock | S | 1061 | $262.97 | Disposed | 32837 | Direct |
| 2021-10-01 | Common Stock | S | 100 | $263.64 | Disposed | 32737 | Direct |
| 2021-10-01 | Common Stock | S | 100 | $267.06 | Disposed | 32637 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-10-01 | Stock Option (right to buy) | $22.04 | M | 5300 | Disposed | 2025-08-11 | Common Stock (5300.0) | 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 $258.63 to $259.55. 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 $259.74 to $260.52. 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.
F4: This transaction was executed in multiple trades at prices ranging from $260.67 to $261.54. 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 $261.79 to $262.53. 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.
F6: This transaction was executed in multiple trades at prices ranging from $262.63 to $263.61. 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: Shares are held by the Trust of Richard E. Koch and Lynn D. Rothman.
F8: All shares are vested and exercisable.