Lynn Rothman - Oct 1, 2021 Form 4 Insider Report for Penumbra Inc (PEN)

Signature
/s/ Johanna Roberts, as attorney-in-fact for Lynn Rothman
Stock symbol
PEN
Transactions as of
Oct 1, 2021
Transactions value $
-$1,270,196
Form type
4
Date filed
10/5/2021, 08:17 PM
Previous filing
Sep 3, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PEN Common Stock Options Exercise $117K +5.3K +16.24% $22.04 37.9K Oct 1, 2021 Direct
transaction PEN Common Stock Sale -$104K -400 -1.05% $259.03 37.5K Oct 1, 2021 Direct F1, F2
transaction PEN Common Stock Sale -$156K -600 -1.6% $260.23 36.9K Oct 1, 2021 Direct F1, F3
transaction PEN Common Stock Sale -$334K -1.28K -3.47% $261.05 35.7K Oct 1, 2021 Direct F1, F4
transaction PEN Common Stock Sale -$461K -1.76K -4.93% $262.10 33.9K Oct 1, 2021 Direct F1, F5
transaction PEN Common Stock Sale -$279K -1.06K -3.13% $262.97 32.8K Oct 1, 2021 Direct F1, F6
transaction PEN Common Stock Sale -$26.4K -100 -0.3% $263.64 32.7K Oct 1, 2021 Direct F1
transaction PEN Common Stock Sale -$26.7K -100 -0.31% $267.06 32.6K Oct 1, 2021 Direct F1
holding PEN Common Stock 102K Oct 1, 2021 By Trust F7

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 -5.3K -13.45% $0.00 34.1K Oct 1, 2021 Common Stock 5.3K $22.04 Direct F8
* 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 $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.
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.
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.
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.
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.
F7 Shares are held by the Trust of Richard E. Koch and Lynn D. Rothman.
F8 All shares are vested and exercisable.