0001321732-16-000039.txt : 20160824 0001321732-16-000039.hdr.sgml : 20160824 20160824215423 ACCESSION NUMBER: 0001321732-16-000039 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160822 FILED AS OF DATE: 20160824 DATE AS OF CHANGE: 20160824 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 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: 161850318 MAIL ADDRESS: STREET 1: 1351 HARBOR BAY PARKWAY CITY: ALAMEDA STATE: CA ZIP: 94502 4 1 wf-form4_147209005095514.xml FORM 4 X0306 4 2016-08-22 0 0001321732 Penumbra Inc PEN 0001651318 Bose Arani ONE PENUMBRA PLACE ALAMEDA CA 94502 1 1 0 0 Chief Innovator Common Stock 2016-08-22 4 M 0 10100 1.26 A 742291 D Common Stock 2016-08-22 4 S 0 8100 72.97 D 734191 D Common Stock 2016-08-22 4 S 0 2000 73.48 D 732191 D Common Stock 2016-08-23 4 M 0 10000 1.26 A 742191 D Common Stock 2016-08-23 4 S 0 7800 72.75 D 734391 D Common Stock 2016-08-23 4 S 0 2200 73.50 D 732191 D Common Stock 2016-08-24 4 M 0 8900 1.26 A 741091 D Common Stock 2016-08-24 4 S 0 316 70.82 D 740775 D Common Stock 2016-08-24 4 S 0 1000 72.16 D 739775 D Common Stock 2016-08-24 4 S 0 7484 73.03 D 732291 D Common Stock 2016-08-24 4 S 0 100 73.59 D 732191 D Common Stock 250000 I By Trust Common Stock 250000 I By Trust Stock Option (right to buy) 1.26 2016-08-22 4 M 0 10100 0 D 2017-04-30 Common Stock 10100.0 189900 D Stock Option (right to buy) 1.26 2016-08-23 4 M 0 10000 0 D 2017-04-30 Common Stock 10000.0 179900 D Stock Option (right to buy) 1.26 2016-08-24 4 M 0 8900 0 D 2017-04-30 Common Stock 8900.0 171000 D 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 $72.41 to $73.40. 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 $73.41 to $73.62. 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 $72.33 to $73.32. 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 $73.33 to $73.54. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provideupon 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 $70.53 to $71.01. 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 $71.76 to $72.52. 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 $72.55 to $73.30. 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 Arani Bose 2009 Family Trust. Shares are held by the Shumita Bose 2009 Family Trust. All shares are vested and exercisable. /s/ Johanna Roberts, as attorney-in-fact for Arani Bose 2016-08-24