Elsesser Adam's Form 4 filing
Penumbra Inc (PEN) · filed Nov 15, 2021
- Accession no.
- 0001321732-21-000112
- Filed
- Nov 15, 2021
- Trade date
- Nov 11, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 11 non-derivative transactions and 1 derivative transaction. Open-market sales total $3.83M. 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2021 | Common Stock | MOption exerciseAcquired | +14,500 | $7.75 | +$112,375 | 14,500 | Direct | |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −699 | $259.11F2 | −$181,117.89 | 13,801 | Direct | |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −901 | $259.96F3 | −$234,223.96 | 12,900 | Direct | |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −700 | $261.01F4 | −$182,707 | 12,200 | Direct | |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −679 | $262.07F5 | −$177,945.53 | 11,521 | Direct | |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −700 | $262.89F6 | −$184,023 | 10,821 | Direct | |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −1,071 | $264.17F7 | −$282,926.07 | 9,750 | Direct | |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −6,532 | $264.91F8 | −$1,730,392.12 | 3,218 | Direct | |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −2,005 | $266.08F9 | −$533,490.4 | 1,213 | Direct | |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −1,113 | $266.88F10 | −$297,037.44 | 100 | Direct | |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −100 | $267.65 | −$26,765 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2021 | Common Stock | MOption exerciseDisposed | −14,500 | $0.00 | $0 | 87,000 | 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 $258.55 to $259.50. 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 $259.55 to $260.49. 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.
- F4
This transaction was executed in multiple trades at prices ranging from $260.70 to $261.44. 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 $261.71 to $262.38. 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 $262.69 to $263.16. 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.
- F7
This transaction was executed in multiple trades at prices ranging from $263.56 to $264.52. 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.
- F8
This transaction was executed in multiple trades at prices ranging from $264.59 to $265.52. 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.
- F9
This transaction was executed in multiple trades at prices ranging from $265.55 to $266.51. 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 $266.56 to $267.53. 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.