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 |
|---|---|---|---|---|---|---|
| February 09, 2017 Filed Feb 10, 2017 19:22 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 700 | $71.68 | $50,176.00 |
DisclosureSEC source: 0001321732-17-000057 · wf-form4_148677255496551.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: 257,996 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 $71.90. 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 · 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 | 400 | $70.10 | $28,040.00 |
DisclosureSEC source: 0001321732-17-000057 · wf-form4_148677255496551.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: 258,696 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 · 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 08, 2017 Filed Feb 10, 2017 19:22 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 2,099 | $70.10 | $147,139.90 |
DisclosureSEC source: 0001321732-17-000057 · wf-form4_148677255496551.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: 259,096 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 · 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 07, 2017 Filed Feb 8, 2017 21:12 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1 | $70.00 | $70.00 |
DisclosureSEC source: 0001321732-17-000042 · wf-form4_148660636498404.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: 261,195 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 06, 2017 Filed Feb 8, 2017 21:12 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 100 | $70.00 | $7,000.00 |
DisclosureSEC source: 0001321732-17-000042 · wf-form4_148660636498404.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: 261,196 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 03, 2017 Filed Feb 3, 2017 20:20 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 886 | $70.63 | $62,578.18 |
DisclosureSEC source: 0001321732-17-000028 · wf-form4_148617122157522.xml · nonDerivative · entry 6 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 261,296 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 $70.40 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 · 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 03, 2017 Filed Feb 3, 2017 20:20 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,000 | $69.74 | $69,740.00 |
DisclosureSEC source: 0001321732-17-000028 · wf-form4_148617122157522.xml · nonDerivative · entry 5 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 262,182 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 $69.20 to $70.10. 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. 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 02, 2017 Filed Feb 3, 2017 20:20 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 400 | $70.54 | $28,216.00 |
DisclosureSEC source: 0001321732-17-000028 · wf-form4_148617122157522.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: 263,182 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 $70.40 to $70.75. 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 |
| February 02, 2017 Filed Feb 3, 2017 20:20 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,104 | $69.81 | $77,070.24 |
DisclosureSEC source: 0001321732-17-000028 · wf-form4_148617122157522.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: 263,582 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 $69.40 to $70.30. 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 |
| February 01, 2017 Filed Feb 3, 2017 20:20 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 300 | $71.55 | $21,465.00 |
DisclosureSEC source: 0001321732-17-000028 · wf-form4_148617122157522.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: 264,686 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 $71.40 to $71.65. 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 |
| February 01, 2017 Filed Feb 3, 2017 20:20 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 1,310 | $70.76 | $92,695.60 |
DisclosureSEC source: 0001321732-17-000028 · wf-form4_148617122157522.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: 264,986 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 $70.35 to $71.25. 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 · 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 |
| October 07, 2016 Filed Oct 11, 2016 18:14 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionStock Option (right to buy) · Derivative | 4,537 | $0.00 Strike: $22.04 | $0.00 |
DisclosureSEC source: 0001321732-16-000083 · wf-form4_147622403734210.xml · derivative · entry 3 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,463 Underlying: Common Stock · 4,537 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: The option was granted by the Issuer prior to the date on which the Reporting Person became subject to Section 16. The original option grant vests over four years, with 25% of the shares vesting on August 1, 2016 and 1/48 vesting each month thereafter and was previously reported on Form 3. Read SEC document |
| October 07, 2016 Filed Oct 11, 2016 18:14 UTC | Penumbra Inc PEN · Entity 3430 | Exercise / conversionCommon Stock | 4,537 | $22.04 | $99,995.48 |
DisclosureSEC source: 0001321732-16-000083 · wf-form4_147622403734210.xml · nonDerivative · entry 1 Evans Robert D. · CIK 0001173733 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,075 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 |
| September 02, 2016 Filed Sep 6, 2016 21:15 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 700 | $70.25 | $49,175.00 |
DisclosureSEC source: 0001321732-16-000069 · wf-form4_147321093814069.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: 266,296 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 $70.00 to $70.56. 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 |
| September 01, 2016 Filed Sep 6, 2016 21:15 UTC | Penumbra Inc PEN · Entity 3430 | SaleCommon Stock | 2,400 | $70.06 | $168,144.00 |
DisclosureSEC source: 0001321732-16-000069 · wf-form4_147321093814069.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: 266,996 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 $70.00 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 · 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.