Form Type: 4

SEC EDGAR Link
Accession Number:0001321732-21-000043
Date:2021-05-07
Issuer: PENUMBRA INC (PEN)
Original Submission Date:

Reporting Person:

ROTHMAN LYNN
ONE PENUMBRA PLACE
ALAMEDA, CA 94502

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature 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
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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
Footnotes
IDfootnote
f1 shares are held by the trust of richard e. koch and lynn d. rothman.
f2 all shares are vested and exercisable.
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