Roberts Johanna's Form 4 filing
Penumbra Inc (PEN) · filed Aug 11, 2021
- Accession no.
- 0001321732-21-000062
- Filed
- Aug 11, 2021
- Trade date
- Aug 9, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 1 derivative transaction. Open-market sales total $657.8K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Roberts JohannaCIK 0001751980 | Officer (EVP, Gen. Counsel & Secretary) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 9, 2021 | Common Stock | MOption exerciseAcquired | +2,500 | $22.04 | +$55,100 | 53,824 | Direct | |
| Aug 9, 2021 | Common Stock | SSaleDisposed | −300 | $259.10F3 | −$77,730 | 53,524 | Direct | |
| Aug 9, 2021 | Common Stock | SSaleDisposed | −100 | $260.02 | −$26,002 | 53,424 | Direct | |
| Aug 9, 2021 | Common Stock | SSaleDisposed | −500 | $262.57F4 | −$131,285 | 52,924 | Direct | |
| Aug 9, 2021 | Common Stock | SSaleDisposed | −650 | $263.67F5 | −$171,385.5 | 52,274 | Direct | |
| Aug 9, 2021 | Common Stock | SSaleDisposed | −650 | $264.46F6 | −$171,899 | 51,624 | Direct | |
| Aug 9, 2021 | Common Stock | SSaleDisposed | −300 | $265.16F7 | −$79,548 | 51,324 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 9, 2021 | Common Stock | MOption exerciseDisposed | −2,500 | $0.00 | $0 | 47,500 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- 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.
Referenced by the price of 1 transaction in Table I.
- 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.
Referenced by the price of 1 transaction in Table I.
- 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.
Referenced by the price of 1 transaction in Table I.
- 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.
Referenced by the price of 1 transaction in Table I.
- 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.
Referenced by the price of 1 transaction in Table I.