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Penumbra Inc — Director's Dealing 2021
Sep 15, 2021
30612_dirs_2021-09-15_0dd8414e-8e8e-4832-8c0c-5414441d0d8b.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: 2021-09-13
Reporting Person: Elsesser Adam (Director, CEO and President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-09-13 | Common Stock | M | 14500 | $7.75 | Acquired | 14500 | Direct |
| 2021-09-13 | Common Stock | S | 600 | $276.53 | Disposed | 13900 | Direct |
| 2021-09-13 | Common Stock | S | 502 | $277.60 | Disposed | 13398 | Direct |
| 2021-09-13 | Common Stock | S | 1896 | $278.81 | Disposed | 11502 | Direct |
| 2021-09-13 | Common Stock | S | 3702 | $279.60 | Disposed | 7800 | Direct |
| 2021-09-13 | Common Stock | S | 2800 | $280.42 | Disposed | 5000 | Direct |
| 2021-09-13 | Common Stock | S | 2100 | $281.57 | Disposed | 2900 | Direct |
| 2021-09-13 | Common Stock | S | 1666 | $282.54 | Disposed | 1234 | Direct |
| 2021-09-13 | Common Stock | S | 1234 | $283.53 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-09-13 | 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 $276.07 to $276.91. 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 $277.17 to $278.02. 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 $278.12 to $279.07. 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 $279.07 to $280.05. 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 $280.09 to $280.91. 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 $281.07 to $281.97. 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 $282.11 to $283.01. 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 $283.09 to $283.84. 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: Shares are held by the Siegel/Elsesser Revocable Trust.
F11: All shares are vested and exercisable.