Roberts Johanna's Form 4 filing
Penumbra Inc (PEN) · filed Dec 5, 2022
- Accession no.
- 0001321732-22-000112
- Filed
- Dec 5, 2022
- Trade date
- Dec 1, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 1 derivative transaction. Open-market sales total $315.4K. 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 1, 2022 | Common Stock | MOption exerciseAcquired | +1,500 | $22.04 | +$33,060 | 56,810 | Direct | |
| Dec 1, 2022 | Common Stock | SSaleDisposed | −200 | $207.93F3 | −$41,586 | 56,610 | Direct | |
| Dec 1, 2022 | Common Stock | SSaleDisposed | −100 | $208.85 | −$20,885 | 56,510 | Direct | |
| Dec 1, 2022 | Common Stock | SSaleDisposed | −600 | $210.29F4 | −$126,174 | 55,910 | Direct | |
| Dec 1, 2022 | Common Stock | SSaleDisposed | −500 | $211.03F5 | −$105,515 | 55,410 | Direct | |
| Dec 1, 2022 | Common Stock | SSaleDisposed | −100 | $212.71 | −$21,271 | 55,310 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 1, 2022 | Common Stock | MOption exerciseDisposed | −1,500 | $0.00 | $0 | 15,200 | 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 $207.52 to $208.25. 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 $209.87 to $210.49. 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.
- F5
This transaction was executed in multiple trades at prices ranging from $210.83 to $211.28. 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.