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