0001321732-23-000120.txt : 20231011 0001321732-23-000120.hdr.sgml : 20231011 20231011193124 ACCESSION NUMBER: 0001321732-23-000120 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231009 FILED AS OF DATE: 20231011 DATE AS OF CHANGE: 20231011 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shiu Lambert CENTRAL INDEX KEY: 0001796068 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37557 FILM NUMBER: 231321545 MAIL ADDRESS: STREET 1: 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_1697067075.xml FORM 4 X0508 4 2023-10-09 0 0001321732 Penumbra Inc PEN 0001796068 Shiu Lambert ONE PENUMBRA PLACE ALAMEDA CA 94502 0 1 0 0 Chief Accounting Officer 0 Common Stock 2023-10-09 4 M 0 2750 12.36 A 19466 D Common Stock 300 I By Spouse's IRA Stock Option (right to buy) 12.36 2023-10-09 4 M 0 2750 0 D 2025-03-22 Common Stock 2750 5250 D A portion of these shares is subject to vesting. Includes 240 shares purchased by the Reporting Person under the Issuer's Employee Stock Purchase Plan on May 19, 2023. Shares are held by the Reporting Person's spouse in an IRA. All shares are vested and exercisable. /s/ Johanna Roberts, as attorney-in-fact for Lambert Shiu 2023-10-11