Rothman Lynn's Form 4 filing
Penumbra Inc (PEN) · filed Aug 12, 2021
- Accession no.
- 0001321732-21-000068
- Filed
- Aug 12, 2021
- Trade date
- Aug 10, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 17 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.41M. 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 |
|---|---|
| Rothman LynnCIK 0001651317 | Officer (EVP and Chief Business Officer) |
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 10, 2021 | Common Stock | MOption exerciseAcquired | +5,300 | $22.04 | +$116,812 | 37,937 | Direct | |
| Aug 10, 2021 | Common Stock | SSaleDisposed | −542 | $258.43F2 | −$140,069.06 | 37,395 | Direct | |
| Aug 10, 2021 | Common Stock | SSaleDisposed | −309 | $259.43F3 | −$80,163.87 | 37,086 | Direct | |
| Aug 10, 2021 | Common Stock | SSaleDisposed | −300 | $260.50F4 | −$78,150 | 36,786 | Direct | |
| Aug 10, 2021 | Common Stock | SSaleDisposed | −300 | $261.43F5 | −$78,429 | 36,486 | Direct | |
| Aug 10, 2021 | Common Stock | SSaleDisposed | −100 | $262.70 | −$26,270 | 36,386 | Direct | |
| Aug 10, 2021 | Common Stock | SSaleDisposed | −300 | $263.40F6 | −$79,020 | 36,086 | Direct | |
| Aug 10, 2021 | Common Stock | SSaleDisposed | −549 | $264.35F7 | −$145,128.15 | 35,537 | Direct | |
| Aug 10, 2021 | Common Stock | SSaleDisposed | −100 | $265.04 | −$26,504 | 35,437 | Direct | |
| Aug 10, 2021 | Common Stock | SSaleDisposed | −500 | $266.58F8 | −$133,290 | 34,937 | Direct | |
| Aug 10, 2021 | Common Stock | SSaleDisposed | −300 | $268.27F9 | −$80,481 | 34,637 | Direct | |
| Aug 10, 2021 | Common Stock | SSaleDisposed | −600 | $269.29F10 | −$161,574 | 34,037 | Direct | |
| Aug 10, 2021 | Common Stock | SSaleDisposed | −400 | $270.18F11 | −$108,072 | 33,637 | Direct | |
| Aug 10, 2021 | Common Stock | SSaleDisposed | −400 | $271.34F12 | −$108,536 | 33,237 | Direct | |
| Aug 10, 2021 | Common Stock | SSaleDisposed | −300 | $272.06F13 | −$81,618 | 32,937 | Direct | |
| Aug 10, 2021 | Common Stock | SSaleDisposed | −200 | $273.45F14 | −$54,690 | 32,737 | Direct | |
| Aug 10, 2021 | Common Stock | SSaleDisposed | −100 | $275.28 | −$27,528 | 32,637 | 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 10, 2021 | Common Stock | MOption exerciseDisposed | −5,300 | $0.00 | $0 | 44,700 | 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 $257.98 to $258.84. 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 $259.10 to $259.88. 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.
- F4
This transaction was executed in multiple trades at prices ranging from $260.00 to $260.86. 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 $261.08 to $261.92. 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.
- F6
This transaction was executed in multiple trades at prices ranging from $263.22 to $263.70. 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.
- F7
This transaction was executed in multiple trades at prices ranging from $264.18 to $264.64. 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 $266.20 to $266.89. 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 $268.02 to $268.49. 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 $269.00 to $269.58. 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 $270.00 to $270.59. 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 $271.21 to $271.43. 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.
- F13
This transaction was executed in multiple trades at prices ranging from $272.00 to $272.19. 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.
- F14
This transaction was executed in multiple trades at prices ranging from $272.99 to $273.90. 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.
Referenced by the price of 1 transaction in Table I.