Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Penumbra IncPEN · Entity 3430 | EVP and Chief Business Officer | October 01, 2021 | October 06, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Penumbra Inc
Report date October 01, 2021 · Filed October 06, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 32,637 |
Ending reported balance
After 2021-10-01 transaction · row 8
8 source rows · reconciled sequenceRow 1 · 2021-10-01 · Exercise / conversion · Acquired 5,300 · Balance 37,937 Row 2 · 2021-10-01 · Sale · Disposed 400 · Balance 37,537 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 $258.63 to $259.55. 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. Row 3 · 2021-10-01 · Sale · Disposed 600 · Balance 36,937 F1: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F3: This transaction was executed in multiple trades at prices ranging from $259.74 to $260.52. 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. Row 4 · 2021-10-01 · Sale · Disposed 1,281 · Balance 35,656 F1: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F4: This transaction was executed in multiple trades at prices ranging from $260.67 to $261.54. 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. Row 5 · 2021-10-01 · Sale · Disposed 1,758 · Balance 33,898 F1: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F5: This transaction was executed in multiple trades at prices ranging from $261.79 to $262.53. 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. Row 6 · 2021-10-01 · Sale · Disposed 1,061 · Balance 32,837 F1: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F6: This transaction was executed in multiple trades at prices ranging from $262.63 to $263.61. 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. Row 7 · 2021-10-01 · Sale · Disposed 100 · Balance 32,737 F1: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. Row 8 · 2021-10-01 · Sale · Disposed 100 · Balance 32,637 F1: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $22.04 · Expires 2025-08-11 | Direct | 34,100 |
Reported balance
After 2021-10-01 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2021-10-01 · Exercise / conversion · Disposed 5,300 · Balance 34,100 F8: All shares are vested and exercisable. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 101,807 |
Reported balance
Holding disclosure · report date 2021-10-01 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 101,807 F7: Shares are held by the Trust of Richard E. Koch and Lynn D. Rothman. |
Filing footnotes · ownership attribution and instrument terms
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 $258.63 to $259.55. 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.
F3: This transaction was executed in multiple trades at prices ranging from $259.74 to $260.52. 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.
F4: This transaction was executed in multiple trades at prices ranging from $260.67 to $261.54. 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 $261.79 to $262.53. 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.
F6: This transaction was executed in multiple trades at prices ranging from $262.63 to $263.61. 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.
F7: Shares are held by the Trust of Richard E. Koch and Lynn D. Rothman.
F8: All shares are vested and exercisable.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 01, 2021 Filed Oct 6, 2021 00:17 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 5,300 | $0.00 Strike: $22.04 | $0.00 |
DisclosureSEC source: 0001321732-21-000088 · wf-form4_163347941301134.xml · derivative · entry 10 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,100 Underlying: Common Stock · 5,300 shares Expires 2025-08-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · derivative.exercise_date: All shares are vested and exercisable. Read SEC document |
| October 01, 2021 Filed Oct 6, 2021 00:17 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 100 | $267.06 | $26,706.00 |
DisclosureSEC source: 0001321732-21-000088 · wf-form4_163347941301134.xml · nonDerivative · entry 8 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,637 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. Read SEC document |
| October 01, 2021 Filed Oct 6, 2021 00:17 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 100 | $263.64 | $26,364.00 |
DisclosureSEC source: 0001321732-21-000088 · wf-form4_163347941301134.xml · nonDerivative · entry 7 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,737 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. Read SEC document |
| October 01, 2021 Filed Oct 6, 2021 00:17 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,061 | $262.97 | $279,011.17 |
DisclosureSEC source: 0001321732-21-000088 · wf-form4_163347941301134.xml · nonDerivative · entry 6 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,837 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F6 · price: This transaction was executed in multiple trades at prices ranging from $262.63 to $263.61. 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. Read SEC document |
| October 01, 2021 Filed Oct 6, 2021 00:17 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,758 | $262.10 | $460,771.80 |
DisclosureSEC source: 0001321732-21-000088 · wf-form4_163347941301134.xml · nonDerivative · entry 5 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,898 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F5 · price: This transaction was executed in multiple trades at prices ranging from $261.79 to $262.53. 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. Read SEC document |
| October 01, 2021 Filed Oct 6, 2021 00:17 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,281 | $261.05 | $334,405.05 |
DisclosureSEC source: 0001321732-21-000088 · wf-form4_163347941301134.xml · nonDerivative · entry 4 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,656 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F4 · price: This transaction was executed in multiple trades at prices ranging from $260.67 to $261.54. 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. Read SEC document |
| October 01, 2021 Filed Oct 6, 2021 00:17 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 600 | $260.23 | $156,138.00 |
DisclosureSEC source: 0001321732-21-000088 · wf-form4_163347941301134.xml · nonDerivative · entry 3 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,937 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F3 · price: This transaction was executed in multiple trades at prices ranging from $259.74 to $260.52. 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. Read SEC document |
| October 01, 2021 Filed Oct 6, 2021 00:17 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 400 | $259.03 | $103,612.00 |
DisclosureSEC source: 0001321732-21-000088 · wf-form4_163347941301134.xml · nonDerivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,537 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades at prices ranging from $258.63 to $259.55. 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. Read SEC document |
| October 01, 2021 Filed Oct 6, 2021 00:17 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 5,300 | $22.04 | $116,812.00 |
DisclosureSEC source: 0001321732-21-000088 · wf-form4_163347941301134.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,937 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 01, 2021 Filed Sep 4, 2021 00:26 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 5,300 | $0.00 Strike: $22.04 | $0.00 |
DisclosureSEC source: 0001321732-21-000076 · wf-form4_163071515771290.xml · derivative · entry 9 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,400 Underlying: Common Stock · 5,300 shares Expires 2025-08-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_date: All shares are vested and exercisable. Read SEC document |
| September 01, 2021 Filed Sep 4, 2021 00:26 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 6 | $275.80 | $1,654.80 |
DisclosureSEC source: 0001321732-21-000076 · wf-form4_163071515771290.xml · nonDerivative · entry 7 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,637 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. Read SEC document |
| September 01, 2021 Filed Sep 4, 2021 00:26 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 700 | $274.58 | $192,206.00 |
DisclosureSEC source: 0001321732-21-000076 · wf-form4_163071515771290.xml · nonDerivative · entry 6 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,643 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F5 · price: 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. Read SEC document |
| September 01, 2021 Filed Sep 4, 2021 00:26 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 300 | $273.55 | $82,065.00 |
DisclosureSEC source: 0001321732-21-000076 · wf-form4_163071515771290.xml · nonDerivative · entry 5 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,343 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F4 · price: 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. Read SEC document |
| September 01, 2021 Filed Sep 4, 2021 00:26 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 100 | $273.00 | $27,300.00 |
DisclosureSEC source: 0001321732-21-000076 · wf-form4_163071515771290.xml · nonDerivative · entry 4 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,643 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. Read SEC document |
| September 01, 2021 Filed Sep 4, 2021 00:26 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,994 | $271.63 | $541,630.22 |
DisclosureSEC source: 0001321732-21-000076 · wf-form4_163071515771290.xml · nonDerivative · entry 3 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,743 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F3 · price: 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. Read SEC document |
| September 01, 2021 Filed Sep 4, 2021 00:26 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 2,200 | $270.80 | $595,760.00 |
DisclosureSEC source: 0001321732-21-000076 · wf-form4_163071515771290.xml · nonDerivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,737 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · price: 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. Read SEC document |
| September 01, 2021 Filed Sep 4, 2021 00:26 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 5,300 | $22.04 | $116,812.00 |
DisclosureSEC source: 0001321732-21-000076 · wf-form4_163071515771290.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,937 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:03 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 5,300 | $0.00 Strike: $22.04 | $0.00 |
DisclosureSEC source: 0001321732-21-000068 · wf-form4_162881297964339.xml · derivative · entry 19 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,700 Underlying: Common Stock · 5,300 shares Expires 2025-08-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F16 · derivative.exercise_date: All shares are vested and exercisable. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:03 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 100 | $275.28 | $27,528.00 |
DisclosureSEC source: 0001321732-21-000068 · wf-form4_162881297964339.xml · nonDerivative · entry 17 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,637 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:03 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 200 | $273.45 | $54,690.00 |
DisclosureSEC source: 0001321732-21-000068 · wf-form4_162881297964339.xml · nonDerivative · entry 16 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,737 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F14 · price: This transaction was executed in multiple trades at prices ranging from $272.99 to $273.90. 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. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:03 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 300 | $272.06 | $81,618.00 |
DisclosureSEC source: 0001321732-21-000068 · wf-form4_162881297964339.xml · nonDerivative · entry 15 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,937 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F13 · price: This transaction was executed in multiple trades at prices ranging from $272.00 to $272.19. 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. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:03 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 400 | $271.34 | $108,536.00 |
DisclosureSEC source: 0001321732-21-000068 · wf-form4_162881297964339.xml · nonDerivative · entry 14 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,237 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F12 · price: This transaction was executed in multiple trades at prices ranging from $271.21 to $271.43. 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. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:03 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 400 | $270.18 | $108,072.00 |
DisclosureSEC source: 0001321732-21-000068 · wf-form4_162881297964339.xml · nonDerivative · entry 13 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,637 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F11 · price: This transaction was executed in multiple trades at prices ranging from $270.00 to $270.59. 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. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:03 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 600 | $269.29 | $161,574.00 |
DisclosureSEC source: 0001321732-21-000068 · wf-form4_162881297964339.xml · nonDerivative · entry 12 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,037 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F10 · price: This transaction was executed in multiple trades at prices ranging from $269.00 to $269.58. 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. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:03 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 300 | $268.27 | $80,481.00 |
DisclosureSEC source: 0001321732-21-000068 · wf-form4_162881297964339.xml · nonDerivative · entry 11 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,637 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F9 · price: This transaction was executed in multiple trades at prices ranging from $268.02 to $268.49. 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. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:03 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 500 | $266.58 | $133,290.00 |
DisclosureSEC source: 0001321732-21-000068 · wf-form4_162881297964339.xml · nonDerivative · entry 10 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,937 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F8 · price: This transaction was executed in multiple trades at prices ranging from $266.20 to $266.89. 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. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:03 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 100 | $265.04 | $26,504.00 |
DisclosureSEC source: 0001321732-21-000068 · wf-form4_162881297964339.xml · nonDerivative · entry 9 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,437 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:03 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 549 | $264.35 | $145,128.15 |
DisclosureSEC source: 0001321732-21-000068 · wf-form4_162881297964339.xml · nonDerivative · entry 8 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,537 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F7 · price: This transaction was executed in multiple trades at prices ranging from $264.18 to $264.64. 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. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:03 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 300 | $263.40 | $79,020.00 |
DisclosureSEC source: 0001321732-21-000068 · wf-form4_162881297964339.xml · nonDerivative · entry 7 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,086 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F6 · price: This transaction was executed in multiple trades at prices ranging from $263.22 to $263.70. 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. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:03 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 100 | $262.70 | $26,270.00 |
DisclosureSEC source: 0001321732-21-000068 · wf-form4_162881297964339.xml · nonDerivative · entry 6 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,386 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:03 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 300 | $261.43 | $78,429.00 |
DisclosureSEC source: 0001321732-21-000068 · wf-form4_162881297964339.xml · nonDerivative · entry 5 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,486 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F5 · price: This transaction was executed in multiple trades at prices ranging from $261.08 to $261.92. 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. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:03 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 300 | $260.50 | $78,150.00 |
DisclosureSEC source: 0001321732-21-000068 · wf-form4_162881297964339.xml · nonDerivative · entry 4 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,786 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F4 · price: This transaction was executed in multiple trades at prices ranging from $260.00 to $260.86. 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. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:03 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 309 | $259.43 | $80,163.87 |
DisclosureSEC source: 0001321732-21-000068 · wf-form4_162881297964339.xml · nonDerivative · entry 3 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,086 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F3 · price: This transaction was executed in multiple trades at prices ranging from $259.10 to $259.88. 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. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:03 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 542 | $258.43 | $140,069.06 |
DisclosureSEC source: 0001321732-21-000068 · wf-form4_162881297964339.xml · nonDerivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,395 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades at prices ranging from $257.98 to $258.84. 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. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:03 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 5,300 | $22.04 | $116,812.00 |
DisclosureSEC source: 0001321732-21-000068 · wf-form4_162881297964339.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,937 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 07, 2021 Filed May 11, 2021 23:50 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 10,155 | $0.00 Strike: $3.98 | $0.00 |
DisclosureSEC source: 0001321732-21-000043 · wf-form4_162077704269546.xml · derivative · entry 3 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,155 shares Expires 2021-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: All shares are vested and exercisable. Read SEC document |
| May 07, 2021 Filed May 11, 2021 23:50 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 10,155 | $3.98 | $40,416.90 |
DisclosureSEC source: 0001321732-21-000043 · wf-form4_162077704269546.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,637 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 24, 2020 Filed Nov 26, 2020 01:33 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 10,150 | $0.00 Strike: $3.98 | $0.00 |
DisclosureSEC source: 0001321732-20-000165 · wf-form4_160635433882211.xml · derivative · entry 3 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,155 Underlying: Common Stock · 10,150 shares Expires 2021-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: All shares are vested and exercisable. Read SEC document |
| November 24, 2020 Filed Nov 26, 2020 01:33 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 10,150 | $3.98 | $40,397.00 |
DisclosureSEC source: 0001321732-20-000165 · wf-form4_160635433882211.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,482 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 20, 2020 Filed Jul 22, 2020 01:42 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 4,875 | $0.00 Strike: $3.98 | $0.00 |
DisclosureSEC source: 0001321732-20-000108 · wf-form4_159538211637880.xml · derivative · entry 7 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,305 Underlying: Common Stock · 4,875 shares Expires 2021-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: All shares are vested and exercisable. Read SEC document |
| July 20, 2020 Filed Jul 22, 2020 01:42 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 4,875 | $200.07 | $975,341.25 |
DisclosureSEC source: 0001321732-20-000108 · wf-form4_159538211637880.xml · nonDerivative · entry 4 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,332 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F3 · price: This transaction was executed in multiple trades at prices ranging from $200.00 to $200.23. 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. Read SEC document |
| July 20, 2020 Filed Jul 22, 2020 01:42 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 4,875 | $3.98 | $19,402.50 |
DisclosureSEC source: 0001321732-20-000108 · wf-form4_159538211637880.xml · nonDerivative · entry 3 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,207 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 17, 2020 Filed Jul 22, 2020 01:42 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 4,800 | $0.00 Strike: $3.98 | $0.00 |
DisclosureSEC source: 0001321732-20-000108 · wf-form4_159538211637880.xml · derivative · entry 6 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,180 Underlying: Common Stock · 4,800 shares Expires 2021-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: All shares are vested and exercisable. Read SEC document |
| July 17, 2020 Filed Jul 22, 2020 01:42 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 4,800 | $195.12 | $936,576.00 |
DisclosureSEC source: 0001321732-20-000108 · wf-form4_159538211637880.xml · nonDerivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,332 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades at prices ranging from $195.00 to $195.44. 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. Read SEC document |
| July 17, 2020 Filed Jul 22, 2020 01:42 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 4,800 | $3.98 | $19,104.00 |
DisclosureSEC source: 0001321732-20-000108 · wf-form4_159538211637880.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,132 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 13, 2020 Filed Jul 16, 2020 00:53 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 200 | $0.00 Strike: $3.98 | $0.00 |
DisclosureSEC source: 0001321732-20-000104 · wf-form4_159486077116477.xml · derivative · entry 4 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,980 Underlying: Common Stock · 200 shares Expires 2021-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: All shares are vested and exercisable. Read SEC document |
| July 13, 2020 Filed Jul 16, 2020 00:53 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 200 | $195.00 | $39,000.00 |
DisclosureSEC source: 0001321732-20-000104 · wf-form4_159486077116477.xml · nonDerivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,332 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. Read SEC document |
| July 13, 2020 Filed Jul 16, 2020 00:53 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 200 | $3.98 | $796.00 |
DisclosureSEC source: 0001321732-20-000104 · wf-form4_159486077116477.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,532 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 11, 2020 Filed Feb 14, 2020 01:41 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 5,000 | $0.00 Strike: $3.98 | $0.00 |
DisclosureSEC source: 0001321732-20-000035 · wf-form4_158164450133696.xml · derivative · entry 4 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,180 Underlying: Common Stock · 5,000 shares Expires 2021-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: All shares are vested and exercisable. Read SEC document |
| February 11, 2020 Filed Feb 14, 2020 01:41 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 5,000 | $185.25 | $926,250.00 |
DisclosureSEC source: 0001321732-20-000035 · wf-form4_158164450133696.xml · nonDerivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,332 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades at prices ranging from $185.00 to $185.87. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.