Rothman Lynn's Form 4 filing
Penumbra Inc (PEN) · filed Oct 5, 2021
- Accession no.
- 0001321732-21-000088
- Filed
- Oct 5, 2021
- Trade date
- Oct 1, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 8 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.39M. It was filed 4 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 1, 2021 | Common Stock | MOption exerciseAcquired | +5,300 | $22.04 | +$116,812 | 37,937 | Direct | |
| Oct 1, 2021 | Common Stock | SSaleDisposed | −400 | $259.03F2 | −$103,612 | 37,537 | Direct | |
| Oct 1, 2021 | Common Stock | SSaleDisposed | −600 | $260.23F3 | −$156,138 | 36,937 | Direct | |
| Oct 1, 2021 | Common Stock | SSaleDisposed | −1,281 | $261.05F4 | −$334,405.05 | 35,656 | Direct | |
| Oct 1, 2021 | Common Stock | SSaleDisposed | −1,758 | $262.10F5 | −$460,771.8 | 33,898 | Direct | |
| Oct 1, 2021 | Common Stock | SSaleDisposed | −1,061 | $262.97F6 | −$279,011.17 | 32,837 | Direct | |
| Oct 1, 2021 | Common Stock | SSaleDisposed | −100 | $263.64 | −$26,364 | 32,737 | Direct | |
| Oct 1, 2021 | Common Stock | SSaleDisposed | −100 | $267.06 | −$26,706 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 1, 2021 | Common Stock | MOption exerciseDisposed | −5,300 | $0.00 | $0 | 34,100 | 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 $258.63 to $259.55. 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 $259.74 to $260.52. 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 $260.67 to $261.54. 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 $261.79 to $262.53. 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 $262.63 to $263.61. 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.