Roberts Johanna's Form 4 filing
Penumbra Inc (PEN) · filed Jan 5, 2022
- Accession no.
- 0001321732-22-000006
- Filed
- Jan 5, 2022
- Trade date
- Jan 3, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 10 non-derivative transactions and 1 derivative transaction. Open-market sales total $915.1K. 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 |
|---|---|
| Roberts JohannaCIK 0001751980 | Officer (EVP, Gen. Counsel & Secretary) |
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 |
|---|---|---|---|---|---|---|---|---|
| Jan 3, 2022 | Common Stock | MOption exerciseAcquired | +3,250 | $22.04 | +$71,630 | 60,874 | Direct | |
| Jan 3, 2022 | Common Stock | SSaleDisposed | −300 | $278.02F3 | −$83,406 | 60,574 | Direct | |
| Jan 3, 2022 | Common Stock | SSaleDisposed | −200 | $278.94F4 | −$55,788 | 60,374 | Direct | |
| Jan 3, 2022 | Common Stock | SSaleDisposed | −643 | $280.06F5 | −$180,078.58 | 59,731 | Direct | |
| Jan 3, 2022 | Common Stock | SSaleDisposed | −758 | $281.16F6 | −$213,119.28 | 58,973 | Direct | |
| Jan 3, 2022 | Common Stock | SSaleDisposed | −449 | $281.94F7 | −$126,591.06 | 58,524 | Direct | |
| Jan 3, 2022 | Common Stock | SSaleDisposed | −200 | $282.53F8 | −$56,506 | 58,324 | Direct | |
| Jan 3, 2022 | Common Stock | SSaleDisposed | −100 | $283.89 | −$28,389 | 58,224 | Direct | |
| Jan 3, 2022 | Common Stock | SSaleDisposed | −500 | $285.24F9 | −$142,620 | 57,724 | Direct | |
| Jan 3, 2022 | Common Stock | SSaleDisposed | −100 | $285.95 | −$28,595 | 57,624 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 3, 2022 | Common Stock | MOption exerciseDisposed | −3,250 | $0.00 | $0 | 30,200 | 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.
- F3
This transaction was executed in multiple trades at prices ranging from $277.45 to $278.42. 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 $278.70 to $279.18. 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 $279.75 to $280.32. 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 $280.61 to $281.40. 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 $281.50 to $282.39. 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 $282.51 to $282.64. 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.
- F9
This transaction was executed in multiple trades at prices ranging from $285.06 to $285.38. 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.