Rothman Lynn 的 Form 4 申報
Penumbra Inc（PEN），2021/8/12 申報
- 申報編號
- 0001321732-21-000068
- 申報時間
- 2021/8/12
- 交易日
- 2021/8/10
- 申報延遲
- 2 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 17 筆非衍生性交易、1 筆衍生性交易。公開市場賣出合計 $141.0 萬。交易後 2 天申報。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Rothman LynnCIK 0001651317 | 高階主管（執行副總裁、業務長） |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2021/8/10 | Common Stock | M行使選擇權取得 | +5,300 | $22.04 | +$116,812 | 37,937 | 直接 | |
| 2021/8/10 | Common Stock | S賣出處分 | −542 | $258.43F2 | −$140,069.06 | 37,395 | 直接 | |
| 2021/8/10 | Common Stock | S賣出處分 | −309 | $259.43F3 | −$80,163.87 | 37,086 | 直接 | |
| 2021/8/10 | Common Stock | S賣出處分 | −300 | $260.50F4 | −$78,150 | 36,786 | 直接 | |
| 2021/8/10 | Common Stock | S賣出處分 | −300 | $261.43F5 | −$78,429 | 36,486 | 直接 | |
| 2021/8/10 | Common Stock | S賣出處分 | −100 | $262.70 | −$26,270 | 36,386 | 直接 | |
| 2021/8/10 | Common Stock | S賣出處分 | −300 | $263.40F6 | −$79,020 | 36,086 | 直接 | |
| 2021/8/10 | Common Stock | S賣出處分 | −549 | $264.35F7 | −$145,128.15 | 35,537 | 直接 | |
| 2021/8/10 | Common Stock | S賣出處分 | −100 | $265.04 | −$26,504 | 35,437 | 直接 | |
| 2021/8/10 | Common Stock | S賣出處分 | −500 | $266.58F8 | −$133,290 | 34,937 | 直接 | |
| 2021/8/10 | Common Stock | S賣出處分 | −300 | $268.27F9 | −$80,481 | 34,637 | 直接 | |
| 2021/8/10 | Common Stock | S賣出處分 | −600 | $269.29F10 | −$161,574 | 34,037 | 直接 | |
| 2021/8/10 | Common Stock | S賣出處分 | −400 | $270.18F11 | −$108,072 | 33,637 | 直接 | |
| 2021/8/10 | Common Stock | S賣出處分 | −400 | $271.34F12 | −$108,536 | 33,237 | 直接 | |
| 2021/8/10 | Common Stock | S賣出處分 | −300 | $272.06F13 | −$81,618 | 32,937 | 直接 | |
| 2021/8/10 | Common Stock | S賣出處分 | −200 | $273.45F14 | −$54,690 | 32,737 | 直接 | |
| 2021/8/10 | Common Stock | S賣出處分 | −100 | $275.28 | −$27,528 | 32,637 | 直接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2021/8/10 | Common Stock | M行使選擇權處分 | −5,300 | $0.00 | $0 | 44,700 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F2
This transaction was executed in multiple trades at prices ranging from $257.98 to $258.84. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F3
This transaction was executed in multiple trades at prices ranging from $259.10 to $259.88. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F4
This transaction was executed in multiple trades at prices ranging from $260.00 to $260.86. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F5
This transaction was executed in multiple trades at prices ranging from $261.08 to $261.92. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F6
This transaction was executed in multiple trades at prices ranging from $263.22 to $263.70. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F7
This transaction was executed in multiple trades at prices ranging from $264.18 to $264.64. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F8
This transaction was executed in multiple trades at prices ranging from $266.20 to $266.89. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F9
This transaction was executed in multiple trades at prices ranging from $268.02 to $268.49. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F10
This transaction was executed in multiple trades at prices ranging from $269.00 to $269.58. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F11
This transaction was executed in multiple trades at prices ranging from $270.00 to $270.59. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F12
This transaction was executed in multiple trades at prices ranging from $271.21 to $271.43. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F13
This transaction was executed in multiple trades at prices ranging from $272.00 to $272.19. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F14
This transaction was executed in multiple trades at prices ranging from $272.99 to $273.90. 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.
表 I 有 1 筆交易的價格引用這則附註。