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 |
|---|---|---|---|---|---|---|
| January 26, 2017 Filed Jan 28, 2017 01:31 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,200 | $72.91 | $87,492.00 |
DisclosureSEC source: 0001321732-17-000016 · wf-form4_148556708576630.xml · nonDerivative · entry 3 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,207 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 $72.45 to $73.30. 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. F3 · balance_after: A portion of these shares is subject to vesting. Read SEC document |
| January 25, 2017 Filed Jan 28, 2017 01:31 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,400 | $75.65 | $105,910.00 |
DisclosureSEC source: 0001321732-17-000016 · wf-form4_148556708576630.xml · nonDerivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,407 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 $75.25 to $75.90. 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 25, 2017 Filed Jan 28, 2017 01:31 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 2,500 | $74.98 | $187,450.00 |
DisclosureSEC source: 0001321732-17-000016 · wf-form4_148556708576630.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 194,807 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 $74.25 to $75.20. 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 |
| December 08, 2016 Filed Feb 14, 2017 23:56 UTC | Penumbra Inc PEN · Entity 3430 | GiftCommon Stock | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001321732-17-000077 · wf-form5_148711656836345.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,307 F1 · kind: This was a bona fide gift with no payment in consideration. F2 · balance_after: A portion of these shares is subject to vesting. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 01:23 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 3,699 | $70.42 | $260,483.58 |
DisclosureSEC source: 0001321732-16-000075 · wf-form4_147321141905255.xml · nonDerivative · entry 3 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,307 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 $70.04 to $70.68. 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 |
| September 01, 2016 Filed Sep 7, 2016 01:23 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 100 | $70.36 | $7,036.00 |
DisclosureSEC source: 0001321732-16-000075 · wf-form4_147321141905255.xml · nonDerivative · entry 2 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,006 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 |
| September 01, 2016 Filed Sep 7, 2016 01:23 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 2,300 | $69.90 | $160,770.00 |
DisclosureSEC source: 0001321732-16-000075 · wf-form4_147321141905255.xml · nonDerivative · entry 1 Rothman Lynn · CIK 0001651317 · EVP and Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,106 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 $69.28 to $70.25. 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. 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.