0001321732-23-000082.txt : 20230713 0001321732-23-000082.hdr.sgml : 20230713 20230713210801 ACCESSION NUMBER: 0001321732-23-000082 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230711 FILED AS OF DATE: 20230713 DATE AS OF CHANGE: 20230713 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: 231087850 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_1689296870.xml FORM 4 X0407 4 2023-07-11 0 0001321732 Penumbra Inc PEN 0001651323 Elsesser Adam ONE PENUMBRA PLACE ALAMEDA CA 94502 1 1 0 0 CEO and President 1 Common Stock 2023-07-11 4 M 0 9666 7.75 A 9666 D Common Stock 2023-07-11 4 S 0 4122 321.32 D 5544 D Common Stock 2023-07-11 4 S 0 1570 322.19 D 3974 D Common Stock 2023-07-11 4 S 0 400 323.47 D 3574 D Common Stock 2023-07-11 4 S 0 1936 324.33 D 1638 D Common Stock 2023-07-11 4 S 0 578 325.05 D 1060 D Common Stock 2023-07-11 4 S 0 322 326.18 D 738 D Common Stock 2023-07-11 4 S 0 738 327.15 D 0 D Common Stock 957582 I By Trust Stock Option (right to buy) 7.75 2023-07-11 4 M 0 9666 0 D 2024-03-20 Common Stock 9666 29002 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 $320.80 to $321.78. 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 $321.80 to $322.71. 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 $323.30 to $323.63. 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. This transaction was executed in multiple trades at prices ranging from $323.82 to $324.78. 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 $324.80 to $325.34. 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 $326.02 to $326.79. 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 $326.80 to $327.66. 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. 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 2023-07-13