Rothman Lynn 的 Form 4 申報
Penumbra Inc（PEN），2021/9/3 申報
- 申報編號
- 0001321732-21-000076
- 申報時間
- 2021/9/3
- 交易日
- 2021/9/1
- 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 7 筆非衍生性交易、1 筆衍生性交易。公開市場賣出合計 $144.1 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/9/1 | Common Stock | M行使選擇權取得 | +5,300 | $22.04 | +$116,812 | 37,937 | 直接 | |
| 2021/9/1 | Common Stock | S賣出處分 | −2,200 | $270.80F2 | −$595,760 | 35,737 | 直接 | |
| 2021/9/1 | Common Stock | S賣出處分 | −1,994 | $271.63F3 | −$541,630.22 | 33,743 | 直接 | |
| 2021/9/1 | Common Stock | S賣出處分 | −100 | $273.00 | −$27,300 | 33,643 | 直接 | |
| 2021/9/1 | Common Stock | S賣出處分 | −300 | $273.55F4 | −$82,065 | 33,343 | 直接 | |
| 2021/9/1 | Common Stock | S賣出處分 | −700 | $274.58F5 | −$192,206 | 32,643 | 直接 | |
| 2021/9/1 | Common Stock | S賣出處分 | −6 | $275.80 | −$1,654.8 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/9/1 | Common Stock | M行使選擇權處分 | −5,300 | $0.00 | $0 | 39,400 | 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 $270.26 to $271.16. 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 $271.27 to $272.22. 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 $273.28 to $273.81. 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.
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 $274.29 to $274.99. 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。