Elsesser Adam's Form 4 filing
Penumbra Inc (PEN) · filed May 15, 2023
- Accession no.
- 0001321732-23-000066
- Filed
- May 15, 2023
- Trade date
- May 11, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 5 non-derivative transactions and 1 derivative transaction. Open-market sales total $3.08M. 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 |
|---|---|---|---|---|---|---|---|---|
| May 11, 2023 | Common Stock | MOption exerciseAcquired | +9,666 | $7.75 | +$74,911.5 | 9,666 | Direct | |
| May 11, 2023 | Common Stock | SSaleDisposed | −3,486 | $317.61F2 | −$1,107,188.46 | 6,180 | Direct | |
| May 11, 2023 | Common Stock | SSaleDisposed | −3,747 | $318.66F3 | −$1,194,019.02 | 2,433 | Direct | |
| May 11, 2023 | Common Stock | SSaleDisposed | −2,002 | $319.44F4 | −$639,518.88 | 431 | Direct | |
| May 11, 2023 | Common Stock | SSaleDisposed | −431 | $320.50F5 | −$138,135.5 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 11, 2023 | Common Stock | MOption exerciseDisposed | −9,666 | $0.00 | $0 | 48,334 | 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 $317.11 to $318.03. 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.
- F3
This transaction was executed in multiple trades at prices ranging from $318.12 to $319.06. 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 $319.12 to $319.99. 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 $320.19 to $320.99. 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.