Elsesser Adam's Form 4 filing
Penumbra Inc (PEN) · filed Jan 13, 2022
- Accession no.
- 0001321732-22-000012
- Filed
- Jan 13, 2022
- Trade date
- Jan 11, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 16 non-derivative transactions and 1 derivative transaction. Open-market sales total $3.67M. 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 11, 2022 | Common Stock | MOption exerciseAcquired | +14,500 | $7.75 | +$112,375 | 14,500 | Direct | |
| Jan 11, 2022 | Common Stock | SSaleDisposed | −500 | $245.15F2 | −$122,575 | 14,000 | Direct | |
| Jan 11, 2022 | Common Stock | SSaleDisposed | −500 | $245.78F3 | −$122,890 | 13,500 | Direct | |
| Jan 11, 2022 | Common Stock | SSaleDisposed | −1,500 | $247.19F4 | −$370,785 | 12,000 | Direct | |
| Jan 11, 2022 | Common Stock | SSaleDisposed | −700 | $247.87F5 | −$173,509 | 11,300 | Direct | |
| Jan 11, 2022 | Common Stock | SSaleDisposed | −600 | $249.06F6 | −$149,436 | 10,700 | Direct | |
| Jan 11, 2022 | Common Stock | SSaleDisposed | −100 | $249.78 | −$24,978 | 10,600 | Direct | |
| Jan 11, 2022 | Common Stock | SSaleDisposed | −1,327 | $251.24F7 | −$333,395.48 | 9,273 | Direct | |
| Jan 11, 2022 | Common Stock | SSaleDisposed | −1,253 | $252.07F8 | −$315,843.71 | 8,020 | Direct | |
| Jan 11, 2022 | Common Stock | SSaleDisposed | −800 | $253.01F9 | −$202,408 | 7,220 | Direct | |
| Jan 11, 2022 | Common Stock | SSaleDisposed | −100 | $254.06 | −$25,406 | 7,120 | Direct | |
| Jan 11, 2022 | Common Stock | SSaleDisposed | −500 | $254.95F10 | −$127,475 | 6,620 | Direct | |
| Jan 11, 2022 | Common Stock | SSaleDisposed | −500 | $256.17F11 | −$128,085 | 6,120 | Direct | |
| Jan 11, 2022 | Common Stock | SSaleDisposed | −3,108 | $257.04F12 | −$798,880.32 | 3,012 | Direct | |
| Jan 11, 2022 | Common Stock | SSaleDisposed | −2,209 | $258.10F13 | −$570,142.9 | 803 | Direct | |
| Jan 11, 2022 | Common Stock | SSaleDisposed | −803 | $258.63F14 | −$207,679.89 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 11, 2022 | Common Stock | MOption exerciseDisposed | −14,500 | $0.00 | $0 | 58,000 | 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 $244.59 to $245.55.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 $245.64 to $245.97. 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 $246.63 to $247.46. 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 $247.62 to $248.22. 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.
- F6
This transaction was executed in multiple trades at prices ranging from $248.65 to $249.39. 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.
- F7
This transaction was executed in multiple trades at prices ranging from $250.67 to $251.52. 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 $251.60 to $252.47.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 $252.66 to $253.53.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.
- F10
This transaction was executed in multiple trades at prices ranging from $254.84 to $255.14.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 $255.91 to $256.55.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.
- F12
This transaction was executed in multiple trades at prices ranging from $256.64 to $257.42.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.
- F13
This transaction was executed in multiple trades at prices ranging from $257.61 to $258.58.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.
- F14
This transaction was executed in multiple trades at prices ranging from $258.59 to $258.71.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.