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 |
|---|---|---|---|---|---|---|
| February 11, 2020 Filed Feb 14, 2020 01:41 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 5,000 | $3.98 | $19,900.00 |
DisclosureSEC source: 0001321732-20-000035 · wf-form4_158164450133696.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,332 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 |
| January 30, 2020 Filed Feb 4, 2020 01:22 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $3.98 | $0.00 |
DisclosureSEC source: 0001321732-20-000015 · wf-form4_158077934788967.xml · derivative · entry 8 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,180 Underlying: Common Stock · 10,000 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. F7 · derivative.exercise_date: All shares are vested and exercisable. Read SEC document |
| January 30, 2020 Filed Feb 4, 2020 01:22 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 100 | $178.40 | $17,840.00 |
DisclosureSEC source: 0001321732-20-000015 · wf-form4_158077934788967.xml · nonDerivative · entry 6 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 |
| January 30, 2020 Filed Feb 4, 2020 01:22 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,399 | $177.99 | $249,008.01 |
DisclosureSEC source: 0001321732-20-000015 · wf-form4_158077934788967.xml · nonDerivative · entry 5 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,432 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 $177.54 to $178.34. 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 |
| January 30, 2020 Filed Feb 4, 2020 01:22 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 500 | $176.75 | $88,375.00 |
DisclosureSEC source: 0001321732-20-000015 · wf-form4_158077934788967.xml · nonDerivative · entry 4 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,831 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 $176.48 to $177.25. 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 |
| January 30, 2020 Filed Feb 4, 2020 01:22 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 4,159 | $176.04 | $732,150.36 |
DisclosureSEC source: 0001321732-20-000015 · wf-form4_158077934788967.xml · nonDerivative · entry 3 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,331 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 $175.49 to $176.39. 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 |
| January 30, 2020 Filed Feb 4, 2020 01:22 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 3,842 | $175.10 | $672,734.20 |
DisclosureSEC source: 0001321732-20-000015 · wf-form4_158077934788967.xml · nonDerivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,490 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 $174.40 to $175.38. 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 |
| January 30, 2020 Filed Feb 4, 2020 01:22 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 10,000 | $3.98 | $39,800.00 |
DisclosureSEC source: 0001321732-20-000015 · wf-form4_158077934788967.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,332 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 |
| December 27, 2019 Filed Dec 31, 2019 01:31 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 320 | $0.00 Strike: $3.98 | $0.00 |
DisclosureSEC source: 0001321732-19-000159 · wf-form4_157775586942423.xml · derivative · entry 3 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,180 Underlying: Common Stock · 320 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 |
| December 27, 2019 Filed Dec 31, 2019 01:31 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 320 | $3.98 | $1,273.60 |
DisclosureSEC source: 0001321732-19-000159 · wf-form4_157775586942423.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,332 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 15, 2019 Filed Feb 15, 2020 01:09 UTC | Penumbra Inc PEN · Entity 3430 | GiftCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001321732-20-000041 · wf-form5_158172894915575.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 101,807 F1 · kind: This was a bona fide gift with no payment in consideration. F2 · ownership.nature: Shares are held by the Trust of Richard E. Koch and Lynn D. Rothman. Read SEC document |
| November 07, 2019 Filed Nov 13, 2019 00:54 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 400 | $171.13 | $68,452.00 |
DisclosureSEC source: 0001321732-19-000138 · wf-form4_157360642294253.xml · nonDerivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 104,807 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 $171.00 to $171.22. 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. F3 · ownership.nature: Trust of Richard E. Koch and Lynn D. Rothman Read SEC document |
| November 07, 2019 Filed Nov 13, 2019 00:54 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 4,600 | $170.25 | $783,150.00 |
DisclosureSEC source: 0001321732-19-000138 · wf-form4_157360642294253.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 105,207 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 $170.00 to $170.96. 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. F3 · ownership.nature: Trust of Richard E. Koch and Lynn D. Rothman Read SEC document |
| October 29, 2019 Filed Nov 1, 2019 00:31 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 5,000 | $160.13 | $800,650.00 |
DisclosureSEC source: 0001321732-19-000129 · wf-form4_157256825760725.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 109,807 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 $160.00 to $160.44. 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. F3 · ownership.nature: Trust of Richard E. Koch and Lynn D. Rothman Read SEC document |
| September 13, 2019 Filed Sep 17, 2019 23:19 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 5,000 | $150.02 | $750,100.00 |
DisclosureSEC source: 0001321732-19-000115 · wf-form4_156876236189342.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 114,807 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 $150.00 to $150.28 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. F3 · ownership.nature: Trust of Richard E. Koch and Lynn D. Rothman Read SEC document |
| August 19, 2019 Filed Aug 22, 2019 00:30 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 300 | $146.90 | $44,070.00 |
DisclosureSEC source: 0001321732-19-000098 · wf-form4_156643380245615.xml · nonDerivative · entry 5 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 119,807 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F4 · ownership.nature: Trust of Richard E. Koch and Lynn D. Rothman Read SEC document |
| August 19, 2019 Filed Aug 22, 2019 00:30 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 200 | $145.99 | $29,198.00 |
DisclosureSEC source: 0001321732-19-000098 · wf-form4_156643380245615.xml · nonDerivative · entry 4 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 120,107 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 $145.88 to $146.10. 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. F4 · ownership.nature: Trust of Richard E. Koch and Lynn D. Rothman Read SEC document |
| August 19, 2019 Filed Aug 22, 2019 00:30 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 2,284 | $145.24 | $331,728.16 |
DisclosureSEC source: 0001321732-19-000098 · wf-form4_156643380245615.xml · nonDerivative · entry 3 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 120,307 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 $144.98 to $145.75. 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. F4 · ownership.nature: Trust of Richard E. Koch and Lynn D. Rothman Read SEC document |
| August 19, 2019 Filed Aug 22, 2019 00:30 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 734 | $144.63 | $106,158.42 |
DisclosureSEC source: 0001321732-19-000098 · wf-form4_156643380245615.xml · nonDerivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 122,591 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 $144.18 to $144.79. 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. F4 · ownership.nature: Trust of Richard E. Koch and Lynn D. Rothman Read SEC document |
| August 19, 2019 Filed Aug 22, 2019 00:30 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,482 | $143.16 | $212,163.12 |
DisclosureSEC source: 0001321732-19-000098 · wf-form4_156643380245615.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 123,325 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 $142.85 to $143.43. 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. F3 · balance_after: Any changes between direct holdings and indirect holdings through the Richard Koch and Lynn D. Rothman Trust are in transactions exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934 as mere changes in form of beneficial ownership. F4 · ownership.nature: Trust of Richard E. Koch and Lynn D. Rothman Read SEC document |
| November 30, 2018 Filed Apr 16, 2019 00:20 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 4,500 | $0.00 Strike: $3.98 | $0.00 |
DisclosureSEC source: 0001321732-19-000047 · wf-form4_155537398377413.xml · derivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,500 Underlying: Common Stock · 4,500 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 options are vested and exercisable. Read SEC document |
| November 30, 2018 Filed Apr 16, 2019 00:20 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 4,500 | $3.98 | $17,910.00 |
DisclosureSEC source: 0001321732-19-000047 · wf-form4_155537398377413.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 136,819 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. F1 · date: This transaction is being reported late due to administrative oversight. F2 · ownership.direct: The Reporting Person previously held shares directly. Changes between direct holdings and indirect holdings through a family revocable trust are in transactions exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934 as mere changes in form of beneficial ownership. F3 · ownership.nature: Trust of Richard E. Koch and Lynn D. Rothman Read SEC document |
| May 09, 2018 Filed May 10, 2018 23:08 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 400 | $151.15 | $60,460.00 |
DisclosureSEC source: 0001321732-18-000069 · wf-form4_152599371000660.xml · nonDerivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,319 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 $151.05 to $151.25. 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 |
| May 09, 2018 Filed May 10, 2018 23:08 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 5,600 | $150.32 | $841,792.00 |
DisclosureSEC source: 0001321732-18-000069 · wf-form4_152599371000660.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,719 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 $150.00 to $150.95. 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 |
| May 07, 2018 Filed May 8, 2018 23:23 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,100 | $135.07 | $148,577.00 |
DisclosureSEC source: 0001321732-18-000067 · wf-form4_152582172299089.xml · nonDerivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,319 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 $135.00 to $135.30. 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 |
| May 04, 2018 Filed May 8, 2018 23:23 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 4,900 | $135.04 | $661,696.00 |
DisclosureSEC source: 0001321732-18-000067 · wf-form4_152582172299089.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,419 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 $135.00 to $135.25. 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 |
| March 15, 2018 Filed Mar 19, 2018 20:39 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 6,000 | $125.02 | $750,120.00 |
DisclosureSEC source: 0001321732-18-000048 · wf-form4_152149191296033.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,319 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 $125.00 to $125.10. 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 |
| March 06, 2018 Filed Mar 8, 2018 01:38 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 2,836 | $115.01 | $326,168.36 |
DisclosureSEC source: 0001321732-18-000044 · wf-form4_152047308973575.xml · nonDerivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,319 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 $115.00 to $115.05. 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 |
| March 05, 2018 Filed Mar 8, 2018 01:38 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 891 | $115.00 | $102,465.00 |
DisclosureSEC source: 0001321732-18-000044 · wf-form4_152047308973575.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,155 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. Read SEC document |
| February 28, 2018 Filed Mar 3, 2018 00:02 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 2,273 | $115.00 | $261,395.00 |
DisclosureSEC source: 0001321732-18-000040 · wf-form4_152003535777163.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,046 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 22:49 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 200 | $91.35 | $18,270.00 |
DisclosureSEC source: 0001321732-18-000011 · wf-form4_151631575798415.xml · nonDerivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,319 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 22:49 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 5,800 | $90.98 | $527,684.00 |
DisclosureSEC source: 0001321732-18-000011 · wf-form4_151631575798415.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,519 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 $90.30 to $91.25. 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 |
| January 02, 2018 Filed Jan 5, 2018 01:37 UTC | Penumbra Inc PEN · Entity 3430 | Tax withholdingCommon Stock | 4,988 | $90.35 | $450,665.80 |
DisclosureSEC source: 0001321732-18-000006 · wf-form4_151511625406475.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,319 F1 · kind: These shares were withheld by or surrendered to Penumbra to pay the reporting person's tax withholding obligations incurred in connection with the vesting of the related restricted stock. Read SEC document |
| November 22, 2017 Filed Feb 14, 2018 23:14 UTC | Penumbra Inc PEN · Entity 3430 | GiftCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001321732-18-000018 · wf-form5_151864991203761.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,319 F1 · kind: This was a bona fide gift with no payment in consideration. Read SEC document |
| February 14, 2017 Filed Feb 14, 2017 23:44 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 6,000 | $75.00 | $450,000.00 |
DisclosureSEC source: 0001321732-17-000065 · wf-form4_148711588027794.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,307 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · balance_after: A portion of these shares is subject to vesting. Read SEC document |
| February 09, 2017 Filed Feb 11, 2017 00:21 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 200 | $71.40 | $14,280.00 |
DisclosureSEC source: 0001321732-17-000055 · wf-form4_148677247125861.xml · nonDerivative · entry 3 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,307 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 $71.10 to $71.55. 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. F3 · balance_after: A portion of these shares is subject to vesting. Read SEC document |
| February 09, 2017 Filed Feb 11, 2017 00:21 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 400 | $70.10 | $28,040.00 |
DisclosureSEC source: 0001321732-17-000055 · wf-form4_148677247125861.xml · nonDerivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,507 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 $70.00 to $70.40. 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. F3 · balance_after: A portion of these shares is subject to vesting. Read SEC document |
| February 08, 2017 Filed Feb 11, 2017 00:21 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 2,100 | $70.11 | $147,231.00 |
DisclosureSEC source: 0001321732-17-000055 · wf-form4_148677247125861.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,907 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 $70.00 to $70.20. 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. F3 · balance_after: A portion of these shares is subject to vesting. Read SEC document |
| February 06, 2017 Filed Feb 7, 2017 01:56 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 100 | $70.00 | $7,000.00 |
DisclosureSEC source: 0001321732-17-000034 · wf-form4_148643257981026.xml · nonDerivative · entry 3 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,007 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F3 · balance_after: A portion of these shares is subject to vesting. Read SEC document |
| February 03, 2017 Filed Feb 7, 2017 01:56 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,786 | $70.48 | $125,877.28 |
DisclosureSEC source: 0001321732-17-000034 · wf-form4_148643257981026.xml · nonDerivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,107 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 $70.00 to $70.95. 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. F3 · balance_after: A portion of these shares is subject to vesting. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 01:56 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,000 | $70.33 | $70,330.00 |
DisclosureSEC source: 0001321732-17-000034 · wf-form4_148643257981026.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,893 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 $70.00 to $70.80. 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. F3 · balance_after: A portion of these shares is subject to vesting. Read SEC document |
| February 01, 2017 Filed Feb 2, 2017 00:59 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 100 | $71.60 | $7,160.00 |
DisclosureSEC source: 0001321732-17-000022 · wf-form4_148599715380307.xml · nonDerivative · entry 5 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,893 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F3 · balance_after: A portion of these shares is subject to vesting. Read SEC document |
| February 01, 2017 Filed Feb 2, 2017 00:59 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 814 | $70.73 | $57,574.22 |
DisclosureSEC source: 0001321732-17-000022 · wf-form4_148599715380307.xml · nonDerivative · entry 4 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,993 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 $70.50 to $71.35. 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. F3 · balance_after: A portion of these shares is subject to vesting. Read SEC document |
| January 31, 2017 Filed Feb 2, 2017 00:59 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,800 | $71.27 | $128,286.00 |
DisclosureSEC source: 0001321732-17-000022 · wf-form4_148599715380307.xml · nonDerivative · entry 3 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,807 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 $70.60 to $71.50. 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. F3 · balance_after: A portion of these shares is subject to vesting. Read SEC document |
| January 30, 2017 Filed Feb 2, 2017 00:59 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 200 | $71.20 | $14,240.00 |
DisclosureSEC source: 0001321732-17-000022 · wf-form4_148599715380307.xml · nonDerivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,607 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F3 · balance_after: A portion of these shares is subject to vesting. Read SEC document |
| January 30, 2017 Filed Feb 2, 2017 00:59 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,500 | $70.73 | $106,095.00 |
DisclosureSEC source: 0001321732-17-000022 · wf-form4_148599715380307.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,807 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 $70.10 to $71.05. 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. F3 · balance_after: A portion of these shares is subject to vesting. Read SEC document |
| January 27, 2017 Filed Jan 28, 2017 01:31 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 200 | $73.40 | $14,680.00 |
DisclosureSEC source: 0001321732-17-000016 · wf-form4_148556708576630.xml · nonDerivative · entry 7 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,307 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 $73.10 to $73.70. 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. F3 · balance_after: A portion of these shares is subject to vesting. Read SEC document |
| January 27, 2017 Filed Jan 28, 2017 01:31 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 900 | $72.29 | $65,061.00 |
DisclosureSEC source: 0001321732-17-000016 · wf-form4_148556708576630.xml · nonDerivative · entry 6 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,507 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 $71.95 to $72.75. 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. F3 · balance_after: A portion of these shares is subject to vesting. Read SEC document |
| January 26, 2017 Filed Jan 28, 2017 01:31 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 100 | $75.05 | $7,505.00 |
DisclosureSEC source: 0001321732-17-000016 · wf-form4_148556708576630.xml · nonDerivative · entry 5 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,407 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F3 · balance_after: A portion of these shares is subject to vesting. Read SEC document |
| January 26, 2017 Filed Jan 28, 2017 01:31 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 700 | $73.70 | $51,590.00 |
DisclosureSEC source: 0001321732-17-000016 · wf-form4_148556708576630.xml · nonDerivative · entry 4 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,507 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 $73.5 to $74.05. 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. F3 · balance_after: A portion of these shares is subject to vesting. 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.