Accession Number: | 0001321732-21-000043 |
Date: | 2021-05-07 |
Issuer: | PENUMBRA INC (PEN) |
Original Submission Date: |
ROTHMAN LYNN
ONE PENUMBRA PLACE
ALAMEDA, CA 94502
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2021-05-07 | M | 10,155 | a | $3.98 | 32,637 | direct | ||
COMMON STOCK | 2021-05-07 | 0 | $0.00 | 101,807 | indirect | f1 |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
STOCK OPTION (RIGHT TO BUY) | 3.98 | 2021-05-07 | deemed execution date | M | 10,155 (d) | 2021-06-12 | common stock 10,155 | $3.98 | 0 | direct |
ID | footnote |
---|---|
f1 | shares are held by the trust of richard e. koch and lynn d. rothman. |
f2 | all shares are vested and exercisable. |