[144] Penumbra, Inc. SEC Filing

Rhea-AI Filing Summary

Penumbra, Inc. submitted a Form 144 reporting a proposed sale of 2,000 common shares through Morgan Stanley Smith Barney LLC with an aggregate market value of $500,000. The filing lists 38,999,129 shares outstanding and specifies the approximate sale date as 08/13/2025 on the NYSE. The notice shows no securities sold in the past three months under the provided "Nothing to Report" entry.

The 2,000 shares to be sold match earlier restricted stock acquisitions recorded in the filing: 338 shares on 12/16/2020, 612 on 11/15/2022, 726 on 12/16/2022, and 324 on 03/15/2024, totaling 2,000 shares. The filer makes the required representation regarding material nonpublic information and mentions Rule 10b5-1 instructions if applicable.

Positive

• Proposed sale fully specified: 2,000 common shares with $500,000 aggregate market value and broker identified as Morgan Stanley Smith Barney LLC
• Acquisition history disclosed: all 2,000 shares were recorded as restricted stock on documented dates totaling the amount offered for sale
• No recent sales reported: the filing shows "Nothing to Report" for sales during the past three months

Negative

• Issuer contact fields are blank in the provided excerpt: key issuer address/phone/name entries are not populated in this content

Insights

Securities Analyst

Small, transparent insider sale disclosed; not likely market-moving.

The Form 144 notifies the market of a planned sale of 2,000 common shares via Morgan Stanley Smith Barney at an aggregate value of $500,000. The filing documents that these shares were acquired as restricted stock across four grant dates and that no sales occurred in the prior three months. Given the listed 38,999,129 shares outstanding, the position disclosed is small relative to the share base and therefore unlikely to be materially impactful to valuation.

Corporate Governance Expert

Form 144 provides required disclosure and acquisition provenance; procedural completeness is mixed.

The filing supplies broker details and acquisition dates showing the securities were granted as restricted stock, which is relevant for Rule 144 eligibility. The filer also includes the statutory representation about nonpublic material information and notes Rule 10b5-1 plan consideration. However, several issuer contact fields in the excerpt are not populated, which reduces the filing's standalone completeness for third-party verification.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	2000	500000.00	38999129	08/13/2025	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	12/16/2022	Restricted Stock	ISSUER			726	12/16/2022	Not Applicable
Common	11/15/2022	Restricted Stock	ISSUER			612	11/15/2022	Not Applicable
Common	03/15/2024	Restricted Stock	ISSUER			324	03/15/2024	Not Applicable
Common	12/16/2020	Restricted Stock	ISSUER			338	12/16/2020	Not Applicable

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What shares does Penumbra (PEN) plan to sell under this Form 144?

2,000 common shares via Morgan Stanley Smith Barney LLC with an aggregate market value of $500,000

When is the approximate date of the proposed sale listed on the Form 144?

08/13/2025 is shown as the approximate date of sale

On which exchange will the shares be sold?

NYSE is listed as the securities exchange for the proposed sale

How were the 2,000 shares acquired according to the filing?

They were acquired as restricted stock: 338 on 12/16/2020, 612 on 11/15/2022, 726 on 12/16/2022, and 324 on 03/15/2024

Were any securities sold by the filer in the past three months?

Nothing to Report is entered for securities sold during the past three months