0001321732-23-000076.txt : 20230614 0001321732-23-000076.hdr.sgml : 20230614 20230614204349 ACCESSION NUMBER: 0001321732-23-000076 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230612 FILED AS OF DATE: 20230614 DATE AS OF CHANGE: 20230614 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: 231015778 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 wk-form4_1686789821.xml FORM 4 X0407 4 2023-06-12 0 0001321732 Penumbra Inc PEN 0001651323 Elsesser Adam ONE PENUMBRA PLACE ALAMEDA CA 94502 1 1 0 0 CEO and President 1 Common Stock 2023-06-12 4 M 0 9666 7.75 A 9666 D Common Stock 2023-06-12 4 S 0 918 321.34 D 8748 D Common Stock 2023-06-12 4 S 0 1568 322.23 D 7180 D Common Stock 2023-06-12 4 S 0 719 323.17 D 6461 D Common Stock 2023-06-12 4 S 0 798 324.33 D 5663 D Common Stock 2023-06-12 4 S 0 3362 325.25 D 2301 D Common Stock 2023-06-12 4 S 0 1542 326.36 D 759 D Common Stock 2023-06-12 4 S 0 759 327.17 D 0 D Common Stock 957582 I By Trust Stock Option (right to buy) 7.75 2023-06-12 4 M 0 9666 0 D 2024-03-20 Common Stock 9666 38668 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 $320.72 to $321.71. 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. This transaction was executed in multiple trades at prices ranging from $321.72 to $322.66. 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 $322.89 to $323.65. 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 $323.80 to $324.71. 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. This transaction was executed in multiple trades at prices ranging from $324.73 to $325.71. 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. This transaction was executed in multiple trades at prices ranging from $325.76 to $326.70. 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 $326.74 to $327.63. 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 2023-06-14