0001321732-19-000062.txt : 20190515 0001321732-19-000062.hdr.sgml : 20190515 20190515195311 ACCESSION NUMBER: 0001321732-19-000062 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190513 FILED AS OF DATE: 20190515 DATE AS OF CHANGE: 20190515 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: 19830313 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_155796437418880.xml FORM 4 X0306 4 2019-05-13 0 0001321732 Penumbra Inc PEN 0001651323 Elsesser Adam ONE PENUMBRA PLACE ALAMEDA CA 94502 1 1 0 0 Chairman, CEO and President Common Stock 2019-05-13 4 S 0 1800 124.05 D 1112182 I By Trust Common Stock 2019-05-13 4 S 0 3110 125 D 1109072 I By Trust Common Stock 2019-05-13 4 S 0 2350 125.84 D 1106722 I By Trust Common Stock 2019-05-13 4 S 0 400 126.73 D 1106322 I By Trust Common Stock 2019-05-13 4 S 0 27 127.94 D 1106295 I By Trust Common Stock 2019-05-13 4 S 0 13 128.83 D 1106282 I By Trust Common Stock 2019-05-13 4 S 0 300 129.38 D 1105982 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 $123.36 to $124.32. 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. Shares are held by the Siegel/Elsesser Revocable Trust. This transaction was executed in multiple trades at prices ranging from $124.50 to $125.34. 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 $125.42 to $126.28. 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 $126.65 to $126.85. 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. /s/ Johanna Roberts, as attorney-in-fact for Adam Elsesser 2019-05-15