0001321732-22-000012.txt : 20220113 0001321732-22-000012.hdr.sgml : 20220113 20220113193636 ACCESSION NUMBER: 0001321732-22-000012 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220111 FILED AS OF DATE: 20220113 DATE AS OF CHANGE: 20220113 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: 22530176 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_164212058152971.xml FORM 4 X0306 4 2022-01-11 0 0001321732 Penumbra Inc PEN 0001651323 Elsesser Adam ONE PENUMBRA PLACE ALAMEDA CA 94502 1 1 0 0 CEO and President Common Stock 2022-01-11 4 M 0 14500 7.75 A 14500 D Common Stock 2022-01-11 4 S 0 500 245.15 D 14000 D Common Stock 2022-01-11 4 S 0 500 245.78 D 13500 D Common Stock 2022-01-11 4 S 0 1500 247.19 D 12000 D Common Stock 2022-01-11 4 S 0 700 247.87 D 11300 D Common Stock 2022-01-11 4 S 0 600 249.06 D 10700 D Common Stock 2022-01-11 4 S 0 100 249.78 D 10600 D Common Stock 2022-01-11 4 S 0 1327 251.24 D 9273 D Common Stock 2022-01-11 4 S 0 1253 252.07 D 8020 D Common Stock 2022-01-11 4 S 0 800 253.01 D 7220 D Common Stock 2022-01-11 4 S 0 100 254.06 D 7120 D Common Stock 2022-01-11 4 S 0 500 254.95 D 6620 D Common Stock 2022-01-11 4 S 0 500 256.17 D 6120 D Common Stock 2022-01-11 4 S 0 3108 257.04 D 3012 D Common Stock 2022-01-11 4 S 0 2209 258.10 D 803 D Common Stock 2022-01-11 4 S 0 803 258.63 D 0 D Common Stock 957582 I By Trust Stock Option (right to buy) 7.75 2022-01-11 4 M 0 14500 0 D 2024-03-20 Common Stock 14500.0 58000 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 $244.59 to $245.55.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 $245.64 to $245.97. 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 $246.63 to $247.46. 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 $247.62 to $248.22. 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. This transaction was executed in multiple trades at prices ranging from $248.65 to $249.39. 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 $250.67 to $251.52. 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 $251.60 to $252.47.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. This transaction was executed in multiple trades at prices ranging from $252.66 to $253.53.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 $254.84 to $255.14.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 $255.91 to $256.55.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 $256.64 to $257.42.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 $257.61 to $258.58.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 $258.59 to $258.71.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 are held by the Siegel/Elsesser Revocable Trust. All shares are vested and exercisable. /s/ Johanna Roberts, as attorney-in-fact for Adam Elsesser 2022-01-13