PEN Form 144: Broker files notice to sell shares

PEN: Morgan Stanley Smith Barney LLC filed a Form 144 reporting proposed sales of Common stock.

Accepted by SEC EDGAR 03/02/2026 - 04:11 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

PEN: Morgan Stanley Smith Barney LLC filed a Form 144 reporting proposed sales of Common stock. The filing lists 900 shares sold as Exercised Shares on 03/05/2025, 1,112 Restricted Stock dated 12/16/2020, and 420 shares from an Employee Stock Purchase Plan dated 11/19/2021.

Insights

Securities Compliance Analyst

Routine Rule 144 sale notice listing specific lots and dates; no proceeds or market action shown.

The filing lists three separate lots totaling specific share counts and original acquisition dates: 900 (exercise), 1,112 (restricted), and 420 (ESPP). It is a broker-submitted notice under resale rules.

Transaction timing, price, and cash-flow treatment are not disclosed in the excerpt; subsequent trading activity will depend on holder decisions and market execution methods.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the PEN Form 144 disclose about the shares?

It discloses proposed sales of Common stock totaling specific lots: 900, 1,112, and 420 shares. The filing lists the acquisition type for each lot and exact acquisition dates, identifying exercised options, restricted stock, and ESPP shares without stating sale prices or proceeds.

Who submitted the Form 144 for PEN and what role is shown?

Morgan Stanley Smith Barney LLC submitted the Form 144 as the broker-dealer handling the notice. The filing lists the broker-dealer name and address and identifies the securities and acquisition dates for the lots to be sold, but not the selling beneficial owner.

Do the PEN Form 144 entries state sale prices or proceeds?

No, the excerpt does not show sale prices or aggregate proceeds for the listed lots. The filing lists share counts and acquisition dates; pricing, intended sale timing, and cash-flow recipients are not provided in the excerpt.

Are the PEN shares being sold restricted or free-trading according to the filing?

The filing identifies one lot as Restricted Stock (1,112 shares) and others as Exercised Shares and ESPP shares, indicating different acquisition origins. The document does not explicitly state current trading restrictions or whether each lot is currently free-trading.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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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	0001796057
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	PENUMBRA, INC.
SEC File Number	001-37557
Address of Issuer	One Penumbra Place Alameda CALIFORNIA 94502
Phone	(510) 748-3200
Name of Person for Whose Account the Securities are To Be Sold	MAGGIE YUEN
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	Officer

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	2432	832473.60	39243053	03/02/2026	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	03/05/2025	Exercised Shares	Issuer			900	03/05/2025	Cash
Common	12/16/2020	Restricted Stock	Issuer			1112	12/16/2020	Not Applicable
Common	11/19/2021	Employee Stock Purchase Plan	Issuer			420	11/19/2021	Cash

* 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	The securities to be sold were acquired upon the vesting of restricted stock during the period of 12/16/2020 through 02/18/2025 The securities to be sold were acquired upon the purchase of Employee Stock Purchase Plan shares during the period of 11/19/2021 through 11/19/2024
Date of Notice	03/02/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	11/24/2025
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	/s/ Maggie Sheung Chan Yuen
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)