Roberts Johanna 的 Form 4 申報
Penumbra Inc（PEN），2023/5/16 申報
- 申報編號
- 0001321732-23-000068
- 申報時間
- 2023/5/16
- 交易日
- 2023/5/12-5/15
- 申報延遲
- 4 天
- 10b5-1 計畫
- 有勾選
這份申報列了 9 筆非衍生性交易、1 筆衍生性交易。公開市場賣出合計 $48.0 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 |
|---|---|
| Roberts JohannaCIK 0001751980 | 高階主管（執行副總裁、法務長、公司秘書） |
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 |
|---|---|---|---|---|---|---|---|---|
| 2023/5/12 | Common Stock | M行使選擇權取得 | +652 | $22.04 | +$14,370.08 | 70,425 | 直接 | |
| 2023/5/12 | Common Stock | S賣出處分 | −375 | $317.32F3 | −$118,995 | 70,050 | 直接 | |
| 2023/5/12 | Common Stock | S賣出處分 | −436 | $318.20F4 | −$138,735.2 | 69,614 | 直接 | |
| 2023/5/12 | Common Stock | S賣出處分 | −187 | $319.24F5 | −$59,697.88 | 69,427 | 直接 | |
| 2023/5/12 | Common Stock | S賣出處分 | −16 | $320.13F6 | −$5,122.08 | 69,411 | 直接 | |
| 2023/5/12 | Common Stock | S賣出處分 | −25 | $322.38F7 | −$8,059.5 | 69,386 | 直接 | |
| 2023/5/12 | Common Stock | S賣出處分 | −447 | $322.95F8 | −$144,358.65 | 68,939 | 直接 | |
| 2023/5/12 | Common Stock | S賣出處分 | −14 | $324.07F9 | −$4,536.98 | 68,925 | 直接 | |
| 2023/5/15 | Common Stock | F扣股繳稅處分 | −1,688 | $314.92 | −$531,584.96 | 67,237 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2023/5/12 | Common Stock | M行使選擇權處分 | −652 | $0.00 | $0 | 7,598 | 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。
- F3
This transaction was executed in multiple trades at prices ranging from $316.84 to $317.71. 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 $317.87 to $318.76. 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 $318.90 to $319.79. 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 $320.00 to $320.50. 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 $321.89 to $322.73. 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 $322.87 to $323.41. 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 $324.00 to $324.10. 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。