Elsesser Adam's Form 4 filing
Penumbra Inc (PEN) · filed Sep 13, 2023
- Accession no.
- 0001321732-23-000112
- Filed
- Sep 13, 2023
- Trade date
- Sep 11, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 10 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.89M. 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 11, 2023 | Common Stock | MOption exerciseAcquired | +9,666 | $7.75 | +$74,911.5 | 9,666 | Direct | |
| Sep 11, 2023 | Common Stock | SSaleDisposed | −800 | $294.47F2 | −$235,576 | 8,866 | Direct | |
| Sep 11, 2023 | Common Stock | SSaleDisposed | −800 | $295.56F3 | −$236,448 | 8,066 | Direct | |
| Sep 11, 2023 | Common Stock | SSaleDisposed | −961 | $296.54F4 | −$284,974.94 | 7,105 | Direct | |
| Sep 11, 2023 | Common Stock | SSaleDisposed | −735 | $297.30F5 | −$218,515.5 | 6,370 | Direct | |
| Sep 11, 2023 | Common Stock | SSaleDisposed | −581 | $298.45F6 | −$173,399.45 | 5,789 | Direct | |
| Sep 11, 2023 | Common Stock | SSaleDisposed | −2,023 | $299.48F7 | −$605,848.04 | 3,766 | Direct | |
| Sep 11, 2023 | Common Stock | SSaleDisposed | −2,207 | $300.45F8 | −$663,093.15 | 1,559 | Direct | |
| Sep 11, 2023 | Common Stock | SSaleDisposed | −1,453 | $301.42F9 | −$437,963.26 | 106 | Direct | |
| Sep 11, 2023 | Common Stock | SSaleDisposed | −106 | $301.91 | −$32,002.46 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 11, 2023 | Common Stock | MOption exerciseDisposed | −9,666 | $0.00 | $0 | 9,670 | 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 $293.89 to $294.86. 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 $295.12 to $295.85. 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 $295.96 to $296.86. 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 $296.91 to $297.78. 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 $298.12 to $298.79. 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.
- F7
This transaction was executed in multiple trades at prices ranging from $299.00 to $299.87. 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 $299.91 to $300.88. 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 $301.03 to $301.85. 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.