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Penumbra Inc — Director's Dealing 2021
Sep 3, 2021
30612_dirs_2021-09-03_5a7db239-78e3-4295-bf8e-a0266fb5bc1b.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: 2021-09-01
Reporting Person: Roberts Johanna (EVP, Gen. Counsel & Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-09-01 | Common Stock | M | 2500 | $22.04 | Acquired | 53824 | Direct |
| 2021-09-01 | Common Stock | S | 1303 | $270.98 | Disposed | 52521 | Direct |
| 2021-09-01 | Common Stock | S | 697 | $271.80 | Disposed | 51824 | Direct |
| 2021-09-01 | Common Stock | S | 100 | $274.49 | Disposed | 51724 | Direct |
| 2021-09-01 | Common Stock | S | 300 | $274.80 | Disposed | 51424 | Direct |
| 2021-09-01 | Common Stock | S | 100 | $276.20 | Disposed | 51324 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-09-01 | Stock Option (right to buy) | $22.04 | M | 2500 | Disposed | 2025-08-11 | Common Stock (2500.0) | Direct |
Footnotes
F1: A portion of these shares is subject to vesting.
F2: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
F3: This transaction was executed in multiple trades at prices ranging from $270.55 to $271.55. 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.
F4: This transaction was executed in multiple trades at prices ranging from $271.55 to $272.16. 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.
F5: This transaction was executed in multiple trades at prices ranging from $274.74 to $274.90. 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: All shares are vested and exercisable.