Lynn Rothman - 10 Aug 2021 Form 4 Insider Report for Penumbra Inc (PEN)

Signature
/s/ Johanna Roberts, as attorney-in-fact for Lynn Rothman
Issuer symbol
PEN
Transactions as of
10 Aug 2021
Net transactions value
-$1,292,711
Form type
4
Filing time
12 Aug 2021, 20:03:29 UTC
Previous filing
11 May 2021
Next filing
03 Sep 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PEN Common Stock Options Exercise $116,812 +5,300 +16% $22.04 37,937 10 Aug 2021 Direct
transaction PEN Common Stock Sale $140,069 -542 -1.4% $258.43 37,395 10 Aug 2021 Direct F1, F2
transaction PEN Common Stock Sale $80,164 -309 -0.83% $259.43 37,086 10 Aug 2021 Direct F1, F3
transaction PEN Common Stock Sale $78,150 -300 -0.81% $260.50 36,786 10 Aug 2021 Direct F1, F4
transaction PEN Common Stock Sale $78,429 -300 -0.82% $261.43 36,486 10 Aug 2021 Direct F1, F5
transaction PEN Common Stock Sale $26,270 -100 -0.27% $262.70 36,386 10 Aug 2021 Direct F1
transaction PEN Common Stock Sale $79,020 -300 -0.82% $263.40 36,086 10 Aug 2021 Direct F1, F6
transaction PEN Common Stock Sale $145,128 -549 -1.5% $264.35 35,537 10 Aug 2021 Direct F1, F7
transaction PEN Common Stock Sale $26,504 -100 -0.28% $265.04 35,437 10 Aug 2021 Direct F1
transaction PEN Common Stock Sale $133,290 -500 -1.4% $266.58 34,937 10 Aug 2021 Direct F1, F8
transaction PEN Common Stock Sale $80,481 -300 -0.86% $268.27 34,637 10 Aug 2021 Direct F1, F9
transaction PEN Common Stock Sale $161,574 -600 -1.7% $269.29 34,037 10 Aug 2021 Direct F1, F10
transaction PEN Common Stock Sale $108,072 -400 -1.2% $270.18 33,637 10 Aug 2021 Direct F1, F11
transaction PEN Common Stock Sale $108,536 -400 -1.2% $271.34 33,237 10 Aug 2021 Direct F1, F12
transaction PEN Common Stock Sale $81,618 -300 -0.9% $272.06 32,937 10 Aug 2021 Direct F1, F13
transaction PEN Common Stock Sale $54,690 -200 -0.61% $273.45 32,737 10 Aug 2021 Direct F1, F14
transaction PEN Common Stock Sale $27,528 -100 -0.31% $275.28 32,637 10 Aug 2021 Direct F1
holding PEN Common Stock 101,807 10 Aug 2021 By Trust F15

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction PEN Stock Option (right to buy) Options Exercise $0 -5,300 -11% $0.000000 44,700 10 Aug 2021 Common Stock 5,300 $22.04 Direct F16
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
F15 Shares are held by the Trust of Richard E. Koch and Lynn D. Rothman.
F16 All shares are vested and exercisable.