Penumbra Inc — Director's Dealing 2021

Aug 11, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Penumbra Inc (PEN)
CIK: 0001321732
Period of Report: 2021-08-09

Reporting Person: Roberts Johanna (EVP, Gen. Counsel & Secretary)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-08-09	Common Stock	M	2500	$22.04	Acquired	53824	Direct
2021-08-09	Common Stock	S	300	$259.10	Disposed	53524	Direct
2021-08-09	Common Stock	S	100	$260.02	Disposed	53424	Direct
2021-08-09	Common Stock	S	500	$262.57	Disposed	52924	Direct
2021-08-09	Common Stock	S	650	$263.67	Disposed	52274	Direct
2021-08-09	Common Stock	S	650	$264.46	Disposed	51624	Direct
2021-08-09	Common Stock	S	300	$265.16	Disposed	51324	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-08-09	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 $258.99 to $259.29. 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 $262.09 to $262.92. 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 $263.24 to $263.95. 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 $264.14 to $264.88. 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 $265.03 to $265.34. 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: All shares are vested and exercisable.