Elsesser Adam's Form 4 filing
Penumbra Inc (PEN) · filed Jul 13, 2023
- Accession no.
- 0001321732-23-000082
- Filed
- Jul 13, 2023
- Trade date
- Jul 11, 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 $3.12M. 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 11, 2023 | Common Stock | MOption exerciseAcquired | +9,666 | $7.75 | +$74,911.5 | 9,666 | Direct | |
| Jul 11, 2023 | Common Stock | SSaleDisposed | −4,122 | $321.32F2 | −$1,324,481.04 | 5,544 | Direct | |
| Jul 11, 2023 | Common Stock | SSaleDisposed | −1,570 | $322.19F3 | −$505,838.3 | 3,974 | Direct | |
| Jul 11, 2023 | Common Stock | SSaleDisposed | −400 | $323.47F4 | −$129,388 | 3,574 | Direct | |
| Jul 11, 2023 | Common Stock | SSaleDisposed | −1,936 | $324.33F5 | −$627,902.88 | 1,638 | Direct | |
| Jul 11, 2023 | Common Stock | SSaleDisposed | −578 | $325.05F6 | −$187,878.9 | 1,060 | Direct | |
| Jul 11, 2023 | Common Stock | SSaleDisposed | −322 | $326.18F7 | −$105,029.96 | 738 | Direct | |
| Jul 11, 2023 | Common Stock | SSaleDisposed | −738 | $327.15F8 | −$241,436.7 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 11, 2023 | Common Stock | MOption exerciseDisposed | −9,666 | $0.00 | $0 | 29,002 | 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 $320.80 to $321.78. 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 $321.80 to $322.71. 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 $323.30 to $323.63. 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.
- F5
This transaction was executed in multiple trades at prices ranging from $323.82 to $324.78. 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 $324.80 to $325.34. 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 $326.02 to $326.79. 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.
- F8
This transaction was executed in multiple trades at prices ranging from $326.80 to $327.66. 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.