Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Penumbra IncPEN · Entity 3430 | EVP, Gen. Counsel & Secretary | August 29, 2018 | August 31, 2018 |
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 August 29, 2018 · Filed August 31, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 15,667 |
Ending reported balance
After 2018-08-30 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2018-08-29 · Exercise / conversion · Acquired 629 · Balance 16,296 Row 2 · 2018-08-29 · Sale · Disposed 629 · Balance 15,667 F1: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. Row 3 · 2018-08-30 · Exercise / conversion · Acquired 2,371 · Balance 18,038 Row 4 · 2018-08-30 · Sale · Disposed 2,371 · Balance 15,667 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 $135.00 to $135.35. 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $22.04 · Expires 2025-08-11 | Direct | 15,242 |
Reported balance
After 2018-08-29 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-08-29 · Exercise / conversion · Disposed 629 · Balance 15,242 F4: Option grant vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $22.04 · Expires 2025-08-11 | Direct | 12,871 |
Reported balance
After 2018-08-30 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-08-30 · Exercise / conversion · Disposed 2,371 · Balance 12,871 F4: Option grant vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 152,296 |
Reported balance
Holding disclosure · report date 2018-08-29 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 152,296 F3: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010. |
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 $135.00 to $135.35. 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: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010.
F4: Option grant vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter.
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 |
|---|---|---|---|---|---|---|
| August 30, 2018 Filed Aug 31, 2018 20:22 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 2,371 | $0.00 Strike: $22.04 | $0.00 |
DisclosureSEC source: 0001321732-18-000118 · wf-form4_153576134632781.xml · derivative · entry 7 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,871 Underlying: Common Stock · 2,371 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. F4 · derivative.exercise_date: Option grant vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter. Read SEC document |
| August 30, 2018 Filed Aug 31, 2018 20:22 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 2,371 | $135.10 | $320,322.10 |
DisclosureSEC source: 0001321732-18-000118 · wf-form4_153576134632781.xml · nonDerivative · entry 4 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,667 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 $135.35. 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. Read SEC document |
| August 30, 2018 Filed Aug 31, 2018 20:22 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 2,371 | $22.04 | $52,256.84 |
DisclosureSEC source: 0001321732-18-000118 · wf-form4_153576134632781.xml · nonDerivative · entry 3 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,038 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 29, 2018 Filed Aug 31, 2018 20:22 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 629 | $0.00 Strike: $22.04 | $0.00 |
DisclosureSEC source: 0001321732-18-000118 · wf-form4_153576134632781.xml · derivative · entry 6 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,242 Underlying: Common Stock · 629 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. F4 · derivative.exercise_date: Option grant vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter. Read SEC document |
| August 29, 2018 Filed Aug 31, 2018 20:22 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 629 | $135.00 | $84,915.00 |
DisclosureSEC source: 0001321732-18-000118 · wf-form4_153576134632781.xml · nonDerivative · entry 2 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,667 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. Read SEC document |
| August 29, 2018 Filed Aug 31, 2018 20:22 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 629 | $22.04 | $13,863.16 |
DisclosureSEC source: 0001321732-18-000118 · wf-form4_153576134632781.xml · nonDerivative · entry 1 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,296 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 08, 2018 Filed Aug 8, 2018 18:30 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 400 | $0.00 Strike: $22.04 | $0.00 |
DisclosureSEC source: 0001321732-18-000104 · wf-form4_153376742418603.xml · derivative · entry 3 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,871 Underlying: Common Stock · 400 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. F4 · derivative.exercise_date: Option grant vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter. Read SEC document |
| August 08, 2018 Filed Aug 8, 2018 18:30 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 400 | $22.04 | $8,816.00 |
DisclosureSEC source: 0001321732-18-000104 · wf-form4_153376742418603.xml · nonDerivative · entry 2 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,667 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 06, 2018 Filed Aug 8, 2018 18:30 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 10,000 | $150.16 | $1,501,600.00 |
DisclosureSEC source: 0001321732-18-000104 · wf-form4_153376742418603.xml · nonDerivative · entry 1 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 152,296 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 $150.75. 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 · ownership.nature: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010. Read SEC document |
| July 16, 2018 Filed Jul 18, 2018 18:40 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 26 | $0.00 Strike: $22.04 | $0.00 |
DisclosureSEC source: 0001321732-18-000090 · wf-form4_153195360828897.xml · derivative · entry 3 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,271 Underlying: Common Stock · 26 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. F2 · derivative.exercise_date: Option grant vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter. Read SEC document |
| July 16, 2018 Filed Jul 18, 2018 18:40 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 26 | $22.04 | $573.04 |
DisclosureSEC source: 0001321732-18-000090 · wf-form4_153195360828897.xml · nonDerivative · entry 1 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,267 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 |
| June 25, 2018 Filed Jun 27, 2018 19:56 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 2,537 | $0.00 Strike: $22.04 | $0.00 |
DisclosureSEC source: 0001321732-18-000084 · wf-form4_153014380199997.xml · derivative · entry 3 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,297 Underlying: Common Stock · 2,537 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. F2 · derivative.exercise_date: Option grant vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter. Read SEC document |
| June 25, 2018 Filed Jun 27, 2018 19:56 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 2,537 | $22.04 | $55,915.48 |
DisclosureSEC source: 0001321732-18-000084 · wf-form4_153014380199997.xml · nonDerivative · entry 1 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,241 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 |
| June 15, 2018 Filed Jun 19, 2018 18:56 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 2,000 | $0.00 Strike: $22.04 | $0.00 |
DisclosureSEC source: 0001321732-18-000080 · wf-form4_152944896697980.xml · derivative · entry 3 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,834 Underlying: Common Stock · 2,000 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. F3 · derivative.exercise_date: Option grant vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter. Read SEC document |
| June 15, 2018 Filed Jun 19, 2018 18:56 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 2,000 | $22.04 | $44,080.00 |
DisclosureSEC source: 0001321732-18-000080 · wf-form4_152944896697980.xml · nonDerivative · entry 1 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,704 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 01, 2018 Filed May 3, 2018 20:15 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 5,000 | $0.00 Strike: $22.04 | $0.00 |
DisclosureSEC source: 0001321732-18-000061 · wf-form4_152539292125308.xml · derivative · entry 7 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,834 Underlying: Common Stock · 5,000 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: Option grant vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter. Read SEC document |
| May 01, 2018 Filed May 3, 2018 20:15 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 900 | $127.53 | $114,777.00 |
DisclosureSEC source: 0001321732-18-000061 · wf-form4_152539292125308.xml · nonDerivative · entry 5 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,225 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 $127.15 to $127.85. 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 01, 2018 Filed May 3, 2018 20:15 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 800 | $126.68 | $101,344.00 |
DisclosureSEC source: 0001321732-18-000061 · wf-form4_152539292125308.xml · nonDerivative · entry 4 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,125 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 $126.35 to $126.85. 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 01, 2018 Filed May 3, 2018 20:15 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,300 | $125.55 | $163,215.00 |
DisclosureSEC source: 0001321732-18-000061 · wf-form4_152539292125308.xml · nonDerivative · entry 3 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,925 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 125.15 to $125.90. 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. Read SEC document |
| May 01, 2018 Filed May 3, 2018 20:15 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 2,000 | $124.56 | $249,120.00 |
DisclosureSEC source: 0001321732-18-000061 · wf-form4_152539292125308.xml · nonDerivative · entry 2 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,225 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 $124.10 to $125.05. 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 |
| May 01, 2018 Filed May 3, 2018 20:15 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 5,000 | $22.04 | $110,200.00 |
DisclosureSEC source: 0001321732-18-000061 · wf-form4_152539292125308.xml · nonDerivative · entry 1 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,225 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 |
| March 12, 2018 Filed Mar 14, 2018 17:06 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 10,000 | $121.03 | $1,210,300.00 |
DisclosureSEC source: 0001321732-18-000046 · wf-form4_152106158300910.xml · nonDerivative · entry 1 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 160,775 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 $121.00 to $121.20. 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 · ownership.nature: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 21:06 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 5,000 | $0.00 Strike: $22.04 | $0.00 |
DisclosureSEC source: 0001321732-18-000042 · wf-form4_152030200370350.xml · derivative · entry 9 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,834 Underlying: Common Stock · 5,000 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. F9 · derivative.exercise_date: Option grant vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 21:06 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 200 | $110.00 | $22,000.00 |
DisclosureSEC source: 0001321732-18-000042 · wf-form4_152030200370350.xml · nonDerivative · entry 6 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,225 F3 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F1 · balance_after: The totals in column 5 have been adjusted from prior reports to accurately reflect certain transactions as involving directly owned shares, which were previously reported as having involved indirectly owned shares. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 21:06 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 822 | $109.58 | $90,074.76 |
DisclosureSEC source: 0001321732-18-000042 · wf-form4_152030200370350.xml · nonDerivative · entry 5 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,425 F3 · 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 $109.00 to $109.95. 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. F1 · balance_after: The totals in column 5 have been adjusted from prior reports to accurately reflect certain transactions as involving directly owned shares, which were previously reported as having involved indirectly owned shares. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 21:06 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 2,678 | $108.40 | $290,295.20 |
DisclosureSEC source: 0001321732-18-000042 · wf-form4_152030200370350.xml · nonDerivative · entry 4 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,247 F3 · 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 $108.00 to $108.95. 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. F1 · balance_after: The totals in column 5 have been adjusted from prior reports to accurately reflect certain transactions as involving directly owned shares, which were previously reported as having involved indirectly owned shares. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 21:06 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,300 | $107.55 | $139,815.00 |
DisclosureSEC source: 0001321732-18-000042 · wf-form4_152030200370350.xml · nonDerivative · entry 3 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,925 F3 · 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 $106.95 to $107.85. 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. F1 · balance_after: The totals in column 5 have been adjusted from prior reports to accurately reflect certain transactions as involving directly owned shares, which were previously reported as having involved indirectly owned shares. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 21:06 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 5,000 | $22.04 | $110,200.00 |
DisclosureSEC source: 0001321732-18-000042 · wf-form4_152030200370350.xml · nonDerivative · entry 2 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,225 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 · balance_after: The totals in column 5 have been adjusted from prior reports to accurately reflect certain transactions as involving directly owned shares, which were previously reported as having involved indirectly owned shares. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 20:36 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 200 | $92.23 | $18,446.00 |
DisclosureSEC source: 0001321732-18-000004 · wf-form4_151511616525066.xml · nonDerivative · entry 4 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 166,296 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 $92.10 to $92.35. 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 · ownership.nature: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 20:36 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 600 | $91.65 | $54,990.00 |
DisclosureSEC source: 0001321732-18-000004 · wf-form4_151511616525066.xml · nonDerivative · entry 3 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 166,496 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 $91.00 to $91.95. 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 · ownership.nature: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 20:36 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 20,855 | $90.08 | $1,878,618.40 |
DisclosureSEC source: 0001321732-18-000004 · wf-form4_151511616525066.xml · nonDerivative · entry 2 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 167,096 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 $90.00 to $90.80. 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 · ownership.nature: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 20:36 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 18,345 | $89.60 | $1,643,712.00 |
DisclosureSEC source: 0001321732-18-000004 · wf-form4_151511616525066.xml · nonDerivative · entry 1 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 187,951 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 $89.00 to $89.95. 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 · ownership.nature: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010. Read SEC document |
| January 02, 2018 Filed Mar 5, 2018 21:06 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 5,000 | $0.00 Strike: $22.04 | $0.00 |
DisclosureSEC source: 0001321732-18-000042 · wf-form4_152030200370350.xml · derivative · entry 8 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,834 Underlying: Common Stock · 5,000 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. F9 · derivative.exercise_date: Option grant vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter. Read SEC document |
| January 02, 2018 Filed Mar 5, 2018 21:06 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 5,000 | $22.04 | $110,200.00 |
DisclosureSEC source: 0001321732-18-000042 · wf-form4_152030200370350.xml · nonDerivative · entry 1 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,225 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 · balance_after: The totals in column 5 have been adjusted from prior reports to accurately reflect certain transactions as involving directly owned shares, which were previously reported as having involved indirectly owned shares. F2 · balance_after: This option exercise was omitted from the prior Form 4 as a result of an administrative error by the company's external share administrator. The shares underlying the option were sold as previously reported in the Form 4 dated January 4, 2018. Read SEC document |
| September 29, 2017 Filed Sep 29, 2017 18:50 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 16,323 | $90.04 | $1,469,722.92 |
DisclosureSEC source: 0001321732-17-000157 · wf-form4_150672542859398.xml · nonDerivative · entry 3 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 206,296 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 $90.00 to $90.15. 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. F2 · ownership.nature: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010. Read SEC document |
| September 28, 2017 Filed Sep 29, 2017 18:50 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 2,108 | $90.00 | $189,720.00 |
DisclosureSEC source: 0001321732-17-000157 · wf-form4_150672542859398.xml · nonDerivative · entry 2 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 222,619 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · ownership.nature: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010. Read SEC document |
| September 27, 2017 Filed Sep 29, 2017 18:50 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,586 | $90.00 | $142,740.00 |
DisclosureSEC source: 0001321732-17-000157 · wf-form4_150672542859398.xml · nonDerivative · entry 1 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 224,727 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · ownership.nature: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010. Read SEC document |
| September 21, 2017 Filed Sep 22, 2017 18:01 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 2,124 | $90.00 | $191,160.00 |
DisclosureSEC source: 0001321732-17-000153 · wf-form4_150611768931889.xml · nonDerivative · entry 2 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 226,313 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · ownership.nature: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010. Read SEC document |
| September 20, 2017 Filed Sep 22, 2017 18:01 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 2,859 | $90.00 | $257,310.00 |
DisclosureSEC source: 0001321732-17-000153 · wf-form4_150611768931889.xml · nonDerivative · entry 1 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 228,437 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · ownership.nature: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010. Read SEC document |
| August 09, 2017 Filed Aug 11, 2017 18:09 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 700 | $86.35 | $60,445.00 |
DisclosureSEC source: 0001321732-17-000145 · wf-form4_150248936786069.xml · nonDerivative · entry 2 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 231,296 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 $86.00 to $86.50. 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 · ownership.nature: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010. Read SEC document |
| August 09, 2017 Filed Aug 11, 2017 18:09 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 9,300 | $85.06 | $791,058.00 |
DisclosureSEC source: 0001321732-17-000145 · wf-form4_150248936786069.xml · nonDerivative · entry 1 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 231,996 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 $85.00 to $85.65 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: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010. Read SEC document |
| July 21, 2017 Filed Jul 24, 2017 19:12 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 4,629 | $0.00 Strike: $22.04 | $0.00 |
DisclosureSEC source: 0001321732-17-000134 · wf-form4_150093793410783.xml · derivative · entry 3 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,834 Underlying: Common Stock · 4,629 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. F2 · derivative.exercise_date: Option vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter. Read SEC document |
| July 21, 2017 Filed Jul 24, 2017 19:12 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 4,629 | $22.04 | $102,023.16 |
DisclosureSEC source: 0001321732-17-000134 · wf-form4_150093793410783.xml · nonDerivative · entry 1 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,704 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 |
| April 24, 2017 Filed Apr 26, 2017 18:14 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 5,000 | $0.00 Strike: $22.04 | $0.00 |
DisclosureSEC source: 0001321732-17-000112 · wf-form4_149324487138123.xml · derivative · entry 4 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,463 Underlying: Common Stock · 5,000 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. F4 · derivative.exercise_date: Option vests over four years, with 25% of the option vesting on August 1, 2016 and 1/48 vesting each month thereafter. Read SEC document |
| April 24, 2017 Filed Apr 26, 2017 18:14 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 5,000 | $85.24 | $426,200.00 |
DisclosureSEC source: 0001321732-17-000112 · wf-form4_149324487138123.xml · nonDerivative · entry 3 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 241,296 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 $85.00 to $85.68. 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 · ownership.nature: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010. Read SEC document |
| April 24, 2017 Filed Apr 26, 2017 18:14 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 5,000 | $85.24 | $426,200.00 |
DisclosureSEC source: 0001321732-17-000112 · wf-form4_149324487138123.xml · nonDerivative · entry 2 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,075 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 $85.00 to $85.68. 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. Read SEC document |
| April 24, 2017 Filed Apr 26, 2017 18:14 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 5,000 | $22.04 | $110,200.00 |
DisclosureSEC source: 0001321732-17-000112 · wf-form4_149324487138123.xml · nonDerivative · entry 1 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,075 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 |
| March 01, 2017 Filed Mar 3, 2017 17:03 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 5,000 | $80.03 | $400,150.00 |
DisclosureSEC source: 0001321732-17-000086 · wf-form4_148857861780393.xml · nonDerivative · entry 1 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 246,296 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 $80.00 to $80.28. 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: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010. Read SEC document |
| February 14, 2017 Filed Feb 14, 2017 18:43 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 5,000 | $75.00 | $375,000.00 |
DisclosureSEC source: 0001321732-17-000063 · wf-form4_148711579253409.xml · nonDerivative · entry 1 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 251,296 F1 · kind: The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · ownership.nature: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010. Read SEC document |
| February 09, 2017 Filed Feb 10, 2017 19:22 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,700 | $72.13 | $122,621.00 |
DisclosureSEC source: 0001321732-17-000057 · wf-form4_148677255496551.xml · nonDerivative · entry 4 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 256,296 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 $72.00 to $72.30. 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 · ownership.nature: Shares are held by The 2010 Robert D. Evans and Norma J. Evans Revocable Trust u/d/t dated November 11, 2010. 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.