0001321732-17-000171.txt : 20171116 0001321732-17-000171.hdr.sgml : 20171116 20171116184831 ACCESSION NUMBER: 0001321732-17-000171 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171114 FILED AS OF DATE: 20171116 DATE AS OF CHANGE: 20171116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Elsesser Adam CENTRAL INDEX KEY: 0001651323 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37557 FILM NUMBER: 171209224 MAIL ADDRESS: STREET 1: 1351 HARBOR BAY PARKWAY CITY: ALAMEDA STATE: CA ZIP: 94502 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Penumbra Inc CENTRAL INDEX KEY: 0001321732 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE PENUMBRA PLACE CITY: ALAMEDA STATE: CA ZIP: 94502 BUSINESS PHONE: (510) 995-2486 MAIL ADDRESS: STREET 1: ONE PENUMBRA PLACE CITY: ALAMEDA STATE: CA ZIP: 94502 4 1 wf-form4_151087608709762.xml FORM 4 X0306 4 2017-11-14 0 0001321732 Penumbra Inc PEN 0001651323 Elsesser Adam ONE PENUMBRA PLACE ALAMEDA CA 94502 1 1 0 0 Chairman, CEO and President Common Stock 2017-11-14 4 S 0 4500 106.12 D 1231338 D Common Stock 2017-11-14 4 S 0 5677 107.29 D 1225661 D Common Stock 2017-11-14 4 S 0 1700 108.14 D 1223961 D Common Stock 2017-11-15 4 S 0 10467 104.61 D 1213494 D Common Stock 2017-11-15 4 S 0 1800 105.36 D 1211694 D Common Stock 2017-11-15 4 S 0 300 106.37 D 1211394 D Common Stock 14144 I By Trust The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. This transaction was executed in multiple trades at prices ranging from $105.75 to $106.70. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $106.75 to $107.70. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $107.75 to $108.55. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $103.95 to $104.90. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $104.95 to $105.85. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $106.05 to $106.55. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Shares are held by the Siegel/Elsesser Revocable Trust. /s/ Robert D. Evans, as attorney-in-fact for Adam Elsesser 2017-11-16