Rothman Lynn's Form 4 filing
Penumbra Inc (PEN) · filed Sep 3, 2021
- Accession no.
- 0001321732-21-000076
- Filed
- Sep 3, 2021
- Trade date
- Sep 1, 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 $1.44M. 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2021 | Common Stock | MOption exerciseAcquired | +5,300 | $22.04 | +$116,812 | 37,937 | Direct | |
| Sep 1, 2021 | Common Stock | SSaleDisposed | −2,200 | $270.80F2 | −$595,760 | 35,737 | Direct | |
| Sep 1, 2021 | Common Stock | SSaleDisposed | −1,994 | $271.63F3 | −$541,630.22 | 33,743 | Direct | |
| Sep 1, 2021 | Common Stock | SSaleDisposed | −100 | $273.00 | −$27,300 | 33,643 | Direct | |
| Sep 1, 2021 | Common Stock | SSaleDisposed | −300 | $273.55F4 | −$82,065 | 33,343 | Direct | |
| Sep 1, 2021 | Common Stock | SSaleDisposed | −700 | $274.58F5 | −$192,206 | 32,643 | Direct | |
| Sep 1, 2021 | Common Stock | SSaleDisposed | −6 | $275.80 | −$1,654.8 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2021 | Common Stock | MOption exerciseDisposed | −5,300 | $0.00 | $0 | 39,400 | 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 $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.
Referenced by the price of 1 transaction in Table I.
- 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.
Referenced by the price of 1 transaction in Table I.
- 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.
Referenced by the price of 1 transaction in Table I.
- 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.
Referenced by the price of 1 transaction in Table I.