Roberts Johanna's Form 4 filing
Penumbra Inc (PEN) · filed Nov 16, 2023
- Accession no.
- 0001321732-23-000133
- Filed
- Nov 16, 2023
- Trade date
- Nov 14-15, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 7 non-derivative transactions. Open-market sales total $128.5K. 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 14, 2023 | Common Stock | SSaleDisposed | −60 | $211.12F2 | −$12,667.2 | 63,577 | Direct | |
| Nov 14, 2023 | Common Stock | SSaleDisposed | −60 | $212.28F4 | −$12,736.8 | 63,517 | Direct | |
| Nov 14, 2023 | Common Stock | SSaleDisposed | −80 | $213.34F5 | −$17,067.2 | 63,437 | Direct | |
| Nov 14, 2023 | Common Stock | SSaleDisposed | −183 | $214.50F6 | −$39,253.5 | 63,254 | Direct | |
| Nov 14, 2023 | Common Stock | SSaleDisposed | −177 | $215.25F7 | −$38,099.25 | 63,077 | Direct | |
| Nov 14, 2023 | Common Stock | SSaleDisposed | −40 | $216.45F8 | −$8,658 | 63,037 | Direct | |
| Nov 15, 2023 | Common Stock | FTax withholdingDisposed | −186 | $227.88 | −$42,385.68 | 62,851 | 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 $210.95 to $211.47. 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 $212.01 to $212.42. 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 $212.95 to $213.49. 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 $214.17 to $214.81. 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 $214.98 to $215.65. 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.
- F8
This transaction was executed in multiple trades at prices ranging from $216.41 to $216.49. 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.