Form Type: 4

SEC EDGAR Link
Accession Number:0001321732-21-000068
Date:2021-08-10
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 2021-08-10 M 5,300 a $22.04 37,937 direct
COMMON STOCK 2021-08-10 S 542 d $258.43 37,395 direct
COMMON STOCK 2021-08-10 S 309 d $259.43 37,086 direct
COMMON STOCK 2021-08-10 S 300 d $260.50 36,786 direct
COMMON STOCK 2021-08-10 S 300 d $261.43 36,486 direct
COMMON STOCK 2021-08-10 S 100 d $262.70 36,386 direct
COMMON STOCK 2021-08-10 S 300 d $263.40 36,086 direct
COMMON STOCK 2021-08-10 S 549 d $264.35 35,537 direct
COMMON STOCK 2021-08-10 S 100 d $265.04 35,437 direct
COMMON STOCK 2021-08-10 S 500 d $266.58 34,937 direct
COMMON STOCK 2021-08-10 S 300 d $268.27 34,637 direct
COMMON STOCK 2021-08-10 S 600 d $269.29 34,037 direct
COMMON STOCK 2021-08-10 S 400 d $270.18 33,637 direct
COMMON STOCK 2021-08-10 S 400 d $271.34 33,237 direct
COMMON STOCK 2021-08-10 S 300 d $272.06 32,937 direct
COMMON STOCK 2021-08-10 S 200 d $273.45 32,737 direct
COMMON STOCK 2021-08-10 S 100 d $275.28 32,637 direct
COMMON STOCK 2021-08-10 0 $0.00 101,807 indirect f15
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) 22.04 2021-08-10 deemed execution date M 5,300 (d) 2025-08-11 common stock 5,300 $22.04 44,700 direct
Footnotes
IDfootnote
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 $257.98 to $258.84. 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 $259.10 to $259.88. 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 $260.00 to $260.86. 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 $261.08 to $261.92. 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 $263.22 to $263.70. 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 this transaction was executed in multiple trades at prices ranging from $264.18 to $264.64. 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.
f8 this transaction was executed in multiple trades at prices ranging from $266.20 to $266.89. 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.
f9 this transaction was executed in multiple trades at prices ranging from $268.02 to $268.49. 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.
f10 this transaction was executed in multiple trades at prices ranging from $269.00 to $269.58. 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.
f11 this transaction was executed in multiple trades at prices ranging from $270.00 to $270.59. 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.
f12 this transaction was executed in multiple trades at prices ranging from $271.21 to $271.43. 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.
f13 this transaction was executed in multiple trades at prices ranging from $272.00 to $272.19. 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.
f14 this transaction was executed in multiple trades at prices ranging from $272.99 to $273.90. 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.
f15 shares are held by the trust of richard e. koch and lynn d. rothman.
f16 all shares are vested and exercisable.

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