0001321732-23-000064.txt : 20230503 0001321732-23-000064.hdr.sgml : 20230503 20230503195002 ACCESSION NUMBER: 0001321732-23-000064 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230501 FILED AS OF DATE: 20230503 DATE AS OF CHANGE: 20230503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bose Arani CENTRAL INDEX KEY: 0001651318 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37557 FILM NUMBER: 23885963 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_168315778940381.xml FORM 4 X0407 4 2023-05-01 0 0001321732 Penumbra Inc PEN 0001651318 Bose Arani ONE PENUMBRA PLACE ALAMEDA CA 94502 1 0 0 0 1 Common Stock 2023-05-01 4 S 0 1316 284.92 D 186313 D Common Stock 2023-05-01 4 S 0 2290 285.73 D 184023 D Common Stock 2023-05-01 4 S 0 972 286.79 D 183051 D Common Stock 2023-05-01 4 S 0 422 287.42 D 182629 D Common Stock 243713 I By GRAT 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 $284.25 to $285.23. 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. A portion of these shares is subject to vesting. This transaction was executed in multiple trades at prices ranging from $285.29 to $286.23. 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. This transaction was executed in multiple trades at prices ranging from $286.30 to $287.18. 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. This transaction was executed in multiple trades at prices ranging from $287.25 to $287.58. 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. Shares are held by the Arani Bose 2022 GRAT. Any changes between direct and indirect holdings through the Arani Bose 2022 GRAT are in transactions exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934 as mere changes in form of beneficial ownership. /s/ Johanna Roberts, as attorney-in-fact for Arani Bose 2023-05-03