Elsesser Adam's Form 4 filing
Penumbra Inc (PEN) · filed Oct 13, 2023
- Accession no.
- 0001321732-23-000122
- Filed
- Oct 13, 2023
- Trade date
- Oct 11, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 11 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.09M. 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 11, 2023 | Common Stock | MOption exerciseAcquired | +9,670 | $7.75 | +$74,942.5 | 9,670 | Direct | |
| Oct 11, 2023 | Common Stock | SSaleDisposed | −3,818 | $214.35F2 | −$818,388.3 | 5,852 | Direct | |
| Oct 11, 2023 | Common Stock | SSaleDisposed | −4,857 | $215.40F3 | −$1,046,197.8 | 995 | Direct | |
| Oct 11, 2023 | Common Stock | SSaleDisposed | −90 | $217.00 | −$19,530 | 905 | Direct | |
| Oct 11, 2023 | Common Stock | SSaleDisposed | −236 | $217.42F4 | −$51,311.12 | 669 | Direct | |
| Oct 11, 2023 | Common Stock | SSaleDisposed | −43 | $218.79F5 | −$9,407.97 | 626 | Direct | |
| Oct 11, 2023 | Common Stock | SSaleDisposed | −19 | $222.62 | −$4,229.78 | 607 | Direct | |
| Oct 11, 2023 | Common Stock | SSaleDisposed | −188 | $223.50F6 | −$42,018 | 419 | Direct | |
| Oct 11, 2023 | Common Stock | SSaleDisposed | −126 | $224.78F7 | −$28,322.28 | 293 | Direct | |
| Oct 11, 2023 | Common Stock | SSaleDisposed | −96 | $225.40 | −$21,638.4 | 197 | Direct | |
| Oct 11, 2023 | Common Stock | SSaleDisposed | −197 | $230.32F8 | −$45,373.04 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 11, 2023 | Common Stock | MOption exerciseDisposed | −9,670 | $0.00 | $0 | 0 | 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 $214.03 to $215.00. 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 $215.10 to $215.67. 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 $217.05 to $217.66. 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.
- F5
This transaction was executed in multiple trades at prices ranging from $218.19 to $218.93. 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 $223.33 to $223.96. 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 $224.45 to $224.92. 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 $230.23 to $230.33. 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.