Lynn Rothman - 01 Sep 2021 Form 4 Insider Report for Penumbra Inc (PEN)

Signature
/s/ Johanna Roberts, as attorney-in-fact for Lynn Rothman
Issuer symbol
PEN
Transactions as of
01 Sep 2021
Net transactions value
-$1,323,804
Form type
4
Filing time
03 Sep 2021, 20:26:15 UTC
Previous filing
12 Aug 2021
Next filing
05 Oct 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PEN Common Stock Options Exercise $116,812 +5,300 +16% $22.04* 37,937 01 Sep 2021 Direct
transaction PEN Common Stock Sale $595,760 -2,200 -5.8% $270.80 35,737 01 Sep 2021 Direct F1, F2
transaction PEN Common Stock Sale $541,630 -1,994 -5.6% $271.63 33,743 01 Sep 2021 Direct F1, F3
transaction PEN Common Stock Sale $27,300 -100 -0.3% $273.00 33,643 01 Sep 2021 Direct F1
transaction PEN Common Stock Sale $82,065 -300 -0.89% $273.55 33,343 01 Sep 2021 Direct F1, F4
transaction PEN Common Stock Sale $192,206 -700 -2.1% $274.58 32,643 01 Sep 2021 Direct F1, F5
transaction PEN Common Stock Sale $1,655 -6 -0.02% $275.80 32,637 01 Sep 2021 Direct F1
holding PEN Common Stock 101,807 01 Sep 2021 By Trust F6

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction PEN Stock Option (right to buy) Options Exercise $0 -5,300 -12% $0.000000 39,400 01 Sep 2021 Common Stock 5,300 $22.04 Direct F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
F2 This transaction was executed in multiple trades at prices ranging from $270.26 to $271.16. 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.
F3 This transaction was executed in multiple trades at prices ranging from $271.27 to $272.22. 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.
F4 This transaction was executed in multiple trades at prices ranging from $273.28 to $273.81. 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.
F5 This transaction was executed in multiple trades at prices ranging from $274.29 to $274.99. 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.
F6 Shares are held by the Trust of Richard E. Koch and Lynn D. Rothman.
F7 All shares are vested and exercisable.