Elsesser Adam's Form 4 filing
Penumbra Inc (PEN) · filed Aug 12, 2021
- Accession no.
- 0001321732-21-000066
- Filed
- Aug 12, 2021
- Trade date
- Aug 11, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 13 non-derivative transactions and 1 derivative transaction. Open-market sales total $3.64M. It was filed 1 day 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 |
|---|---|
| Elsesser AdamCIK 0001651323 | Director, Officer (CEO and President) |
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 11, 2021 | Common Stock | MOption exerciseAcquired | +14,500 | $7.75 | +$112,375 | 14,500 | Direct | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −500 | $245.36F2 | −$122,680 | 14,000 | Direct | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −200 | $246.21F3 | −$49,242 | 13,800 | Direct | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −704 | $247.25F4 | −$174,064 | 13,096 | Direct | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −2,611 | $248.35F5 | −$648,441.85 | 10,485 | Direct | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −1,985 | $249.16F6 | −$494,582.6 | 8,500 | Direct | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −1,088 | $250.19F7 | −$272,206.72 | 7,412 | Direct | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −1,125 | $251.29F8 | −$282,701.25 | 6,287 | Direct | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −300 | $252.12F9 | −$75,636 | 5,987 | Direct | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −1,700 | $253.30F10 | −$430,610 | 4,287 | Direct | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −1,684 | $254.22F11 | −$428,106.48 | 2,603 | Direct | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −2,503 | $255.26F12 | −$638,915.78 | 100 | Direct | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −100 | $257.28 | −$25,728 | 0 | 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 11, 2021 | Common Stock | MOption exerciseDisposed | −14,500 | $0.00 | $0 | 130,500 | 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.
- F2
This transaction was executed in multiple trades at prices ranging from $244.78 to $245.74. 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.
- F3
This transaction was executed in multiple trades at prices ranging from $246.00 to $246.41. 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 $246.88 to $247.75. 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 $247.79 to $248.76. 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 $248.79 to $249.66. 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 $249.82 to $250.74. 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.
- F8
This transaction was executed in multiple trades at prices ranging from $250.80 to $251.73. 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.
- F9
This transaction was executed in multiple trades at prices ranging from $251.87 to $252.41. 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.
- F10
This transaction was executed in multiple trades at prices ranging from $252.88 to $253.70. 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.
- F11
This transaction was executed in multiple trades at prices ranging from $253.78 to $254.59. 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.
- F12
This transaction was executed in multiple trades at prices ranging from $254.91 to $255.70. 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.