Roberts Johanna's Form 4 filing
Penumbra Inc (PEN) · filed May 16, 2023
- Accession no.
- 0001321732-23-000068
- Filed
- May 16, 2023
- Trade date
- May 12-15, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 9 non-derivative transactions and 1 derivative transaction. Open-market sales total $479.5K. 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 |
|---|---|---|---|---|---|---|---|---|
| May 12, 2023 | Common Stock | MOption exerciseAcquired | +652 | $22.04 | +$14,370.08 | 70,425 | Direct | |
| May 12, 2023 | Common Stock | SSaleDisposed | −375 | $317.32F3 | −$118,995 | 70,050 | Direct | |
| May 12, 2023 | Common Stock | SSaleDisposed | −436 | $318.20F4 | −$138,735.2 | 69,614 | Direct | |
| May 12, 2023 | Common Stock | SSaleDisposed | −187 | $319.24F5 | −$59,697.88 | 69,427 | Direct | |
| May 12, 2023 | Common Stock | SSaleDisposed | −16 | $320.13F6 | −$5,122.08 | 69,411 | Direct | |
| May 12, 2023 | Common Stock | SSaleDisposed | −25 | $322.38F7 | −$8,059.5 | 69,386 | Direct | |
| May 12, 2023 | Common Stock | SSaleDisposed | −447 | $322.95F8 | −$144,358.65 | 68,939 | Direct | |
| May 12, 2023 | Common Stock | SSaleDisposed | −14 | $324.07F9 | −$4,536.98 | 68,925 | Direct | |
| May 15, 2023 | Common Stock | FTax withholdingDisposed | −1,688 | $314.92 | −$531,584.96 | 67,237 | 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 12, 2023 | Common Stock | MOption exerciseDisposed | −652 | $0.00 | $0 | 7,598 | 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 $316.84 to $317.71. 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.
- F4
This transaction was executed in multiple trades at prices ranging from $317.87 to $318.76. 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 $318.90 to $319.79. 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 $320.00 to $320.50. 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 $321.89 to $322.73. 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 $322.87 to $323.41. 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 $324.00 to $324.10. 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.