0001321732-23-000133.txt : 20231116 0001321732-23-000133.hdr.sgml : 20231116 20231116193513 ACCESSION NUMBER: 0001321732-23-000133 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231114 FILED AS OF DATE: 20231116 DATE AS OF CHANGE: 20231116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Roberts Johanna CENTRAL INDEX KEY: 0001751980 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37557 FILM NUMBER: 231416079 MAIL ADDRESS: STREET 1: PENUMBRA, INC. STREET 2: ONE PENUMBRA PLACE 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 wk-form4_1700181303.xml FORM 4 X0508 4 2023-11-14 0 0001321732 Penumbra Inc PEN 0001751980 Roberts Johanna ONE PENUMBRA PLACE ALAMEDA CA 94502 0 1 0 0 EVP, Gen. Counsel & Secretary 0 Common Stock 2023-11-14 4 S 0 60 211.12 D 63577 D Common Stock 2023-11-14 4 S 0 60 212.28 D 63517 D Common Stock 2023-11-14 4 S 0 80 213.34 D 63437 D Common Stock 2023-11-14 4 S 0 183 214.50 D 63254 D Common Stock 2023-11-14 4 S 0 177 215.25 D 63077 D Common Stock 2023-11-14 4 S 0 40 216.45 D 63037 D Common Stock 2023-11-15 4 F 0 186 227.88 D 62851 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 $210.95 to $211.47. 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 $212.01 to $212.42. 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 $212.95 to $213.49. 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 $214.17 to $214.81. 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 $214.98 to $215.65. 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 $216.41 to $216.49. 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 were withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the Reporting Person. /s/ Johanna Roberts 2023-11-16