Roberts Johanna's Form 4 filing
Penumbra Inc (PEN) · filed Oct 5, 2022
- Accession no.
- 0001321732-22-000091
- Filed
- Oct 5, 2022
- Trade date
- Oct 3, 2022
- 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 $289.5K. 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 3, 2022 | Common Stock | MOption exerciseAcquired | +1,500 | $22.04 | +$33,060 | 56,996 | Direct | |
| Oct 3, 2022 | Common Stock | SSaleDisposed | −100 | $190.02F3 | −$19,002 | 56,896 | Direct | |
| Oct 3, 2022 | Common Stock | SSaleDisposed | −400 | $191.63F4 | −$76,652 | 56,496 | Direct | |
| Oct 3, 2022 | Common Stock | SSaleDisposed | −400 | $192.62F5 | −$77,048 | 56,096 | Direct | |
| Oct 3, 2022 | Common Stock | SSaleDisposed | −200 | $193.57F6 | −$38,714 | 55,896 | Direct | |
| Oct 3, 2022 | Common Stock | SSaleDisposed | −100 | $194.83 | −$19,483 | 55,796 | Direct | |
| Oct 3, 2022 | Common Stock | SSaleDisposed | −300 | $195.46F7 | −$58,638 | 55,496 | 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 3, 2022 | Common Stock | MOption exerciseDisposed | −1,500 | $0.00 | $0 | 18,200 | 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 $189.95 to $190.03. 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 $191.20 to $191.88. 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 $192.42 to $192.75. 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 $193.48 to $193.65. 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 $195.39 to $195.51. 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.