Elsesser Adam's Form 4 filing
Penumbra Inc (PEN) · filed Jun 14, 2023
- Accession no.
- 0001321732-23-000076
- Filed
- Jun 14, 2023
- Trade date
- Jun 12, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 8 non-derivative transactions and 1 derivative transaction. Open-market sales total $3.14M. 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 |
|---|---|---|---|---|---|---|---|---|
| Jun 12, 2023 | Common Stock | MOption exerciseAcquired | +9,666 | $7.75 | +$74,911.5 | 9,666 | Direct | |
| Jun 12, 2023 | Common Stock | SSaleDisposed | −918 | $321.34F2 | −$294,990.12 | 8,748 | Direct | |
| Jun 12, 2023 | Common Stock | SSaleDisposed | −1,568 | $322.23F3 | −$505,256.64 | 7,180 | Direct | |
| Jun 12, 2023 | Common Stock | SSaleDisposed | −719 | $323.17F4 | −$232,359.23 | 6,461 | Direct | |
| Jun 12, 2023 | Common Stock | SSaleDisposed | −798 | $324.33F5 | −$258,815.34 | 5,663 | Direct | |
| Jun 12, 2023 | Common Stock | SSaleDisposed | −3,362 | $325.25F6 | −$1,093,490.5 | 2,301 | Direct | |
| Jun 12, 2023 | Common Stock | SSaleDisposed | −1,542 | $326.36F7 | −$503,247.12 | 759 | Direct | |
| Jun 12, 2023 | Common Stock | SSaleDisposed | −759 | $327.17F8 | −$248,322.03 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jun 12, 2023 | Common Stock | MOption exerciseDisposed | −9,666 | $0.00 | $0 | 38,668 | 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 $320.72 to $321.71. 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.
- F3
This transaction was executed in multiple trades at prices ranging from $321.72 to $322.66. 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 $322.89 to $323.65. 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.
- F5
This transaction was executed in multiple trades at prices ranging from $323.80 to $324.71. 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.
- F6
This transaction was executed in multiple trades at prices ranging from $324.73 to $325.71. 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.
- F7
This transaction was executed in multiple trades at prices ranging from $325.76 to $326.70. 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 $326.74 to $327.63. 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.