Penumbra Inc — Director's Dealing 2021

Sep 3, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Penumbra Inc (PEN)
CIK: 0001321732
Period of Report: 2021-09-01

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-09-01	Common Stock	M	5300	$22.04	Acquired	37937	Direct
2021-09-01	Common Stock	S	2200	$270.80	Disposed	35737	Direct
2021-09-01	Common Stock	S	1994	$271.63	Disposed	33743	Direct
2021-09-01	Common Stock	S	100	$273	Disposed	33643	Direct
2021-09-01	Common Stock	S	300	$273.55	Disposed	33343	Direct
2021-09-01	Common Stock	S	700	$274.58	Disposed	32643	Direct
2021-09-01	Common Stock	S	6	$275.80	Disposed	32637	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	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 $270.26 to $271.16. 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.

F3: This transaction was executed in multiple trades at prices ranging from $271.27 to $272.22. 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 $273.28 to $273.81. 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 $274.29 to $274.99. 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: Shares are held by the Trust of Richard E. Koch and Lynn D. Rothman.

F7: All shares are vested and exercisable.