Elsesser Adam 的 Form 4 申報
Penumbra Inc（PEN），2023/9/13 申報
- 申報編號
- 0001321732-23-000112
- 申報時間
- 2023/9/13
- 交易日
- 2023/9/11
- 申報延遲
- 2 天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 10 筆非衍生性交易、1 筆衍生性交易。公開市場賣出合計 $288.8 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 |
|---|---|
| Elsesser AdamCIK 0001651323 | 董事、高階主管（執行長、總裁） |
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 |
|---|---|---|---|---|---|---|---|---|
| 2023/9/11 | Common Stock | M行使選擇權取得 | +9,666 | $7.75 | +$74,911.5 | 9,666 | 直接 | |
| 2023/9/11 | Common Stock | S賣出處分 | −800 | $294.47F2 | −$235,576 | 8,866 | 直接 | |
| 2023/9/11 | Common Stock | S賣出處分 | −800 | $295.56F3 | −$236,448 | 8,066 | 直接 | |
| 2023/9/11 | Common Stock | S賣出處分 | −961 | $296.54F4 | −$284,974.94 | 7,105 | 直接 | |
| 2023/9/11 | Common Stock | S賣出處分 | −735 | $297.30F5 | −$218,515.5 | 6,370 | 直接 | |
| 2023/9/11 | Common Stock | S賣出處分 | −581 | $298.45F6 | −$173,399.45 | 5,789 | 直接 | |
| 2023/9/11 | Common Stock | S賣出處分 | −2,023 | $299.48F7 | −$605,848.04 | 3,766 | 直接 | |
| 2023/9/11 | Common Stock | S賣出處分 | −2,207 | $300.45F8 | −$663,093.15 | 1,559 | 直接 | |
| 2023/9/11 | Common Stock | S賣出處分 | −1,453 | $301.42F9 | −$437,963.26 | 106 | 直接 | |
| 2023/9/11 | Common Stock | S賣出處分 | −106 | $301.91 | −$32,002.46 | 0 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2023/9/11 | Common Stock | M行使選擇權處分 | −9,666 | $0.00 | $0 | 9,670 | 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 $293.89 to $294.86. 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。
- F3
This transaction was executed in multiple trades at prices ranging from $295.12 to $295.85. 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 $295.96 to $296.86. 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 $296.91 to $297.78. 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 $298.12 to $298.79. 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。
- F7
This transaction was executed in multiple trades at prices ranging from $299.00 to $299.87. 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 $299.91 to $300.88. 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。
- F9
This transaction was executed in multiple trades at prices ranging from $301.03 to $301.85. 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。