Rothman Lynn 的 Form 4 申報
Penumbra Inc（PEN），2021/10/5 申報
- 申報編號
- 0001321732-21-000088
- 申報時間
- 2021/10/5
- 交易日
- 2021/10/1
- 申報延遲
- 4 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 8 筆非衍生性交易、1 筆衍生性交易。公開市場賣出合計 $138.7 萬。交易後 4 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/10/1 | Common Stock | M行使選擇權取得 | +5,300 | $22.04 | +$116,812 | 37,937 | 直接 | |
| 2021/10/1 | Common Stock | S賣出處分 | −400 | $259.03F2 | −$103,612 | 37,537 | 直接 | |
| 2021/10/1 | Common Stock | S賣出處分 | −600 | $260.23F3 | −$156,138 | 36,937 | 直接 | |
| 2021/10/1 | Common Stock | S賣出處分 | −1,281 | $261.05F4 | −$334,405.05 | 35,656 | 直接 | |
| 2021/10/1 | Common Stock | S賣出處分 | −1,758 | $262.10F5 | −$460,771.8 | 33,898 | 直接 | |
| 2021/10/1 | Common Stock | S賣出處分 | −1,061 | $262.97F6 | −$279,011.17 | 32,837 | 直接 | |
| 2021/10/1 | Common Stock | S賣出處分 | −100 | $263.64 | −$26,364 | 32,737 | 直接 | |
| 2021/10/1 | Common Stock | S賣出處分 | −100 | $267.06 | −$26,706 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/10/1 | Common Stock | M行使選擇權處分 | −5,300 | $0.00 | $0 | 34,100 | 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 $258.63 to $259.55. 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 $259.74 to $260.52. 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 $260.67 to $261.54. 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 $261.79 to $262.53. 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 $262.63 to $263.61. 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。