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Penumbra (NYSE: PEN) director sells 100 shares under Rule 10b5-1 plan

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Penumbra Inc director Harpreet Grewal reported an open-market sale of 100 shares of common stock at $328.22 per share on April 2, 2026. After this transaction, Grewal directly holds 8,719 shares. The filing notes the sale was made under a pre-arranged Rule 10b5-1 trading plan, and a portion of the remaining shares is subject to vesting.

Positive

  • None.

Negative

  • None.
Insider Grewal Harpreet
Role Director
Sold 100 shs ($33K)
Type Security Shares Price Value
Sale Common Stock 100 $328.22 $33K
Holdings After Transaction: Common Stock — 8,719 shares (Direct)
Footnotes (1)
  1. The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. A portion of these shares is subject to vesting.
Shares sold 100 shares Open-market sale of Penumbra common stock on April 2, 2026
Sale price per share $328.22 per share Price for the 100 shares sold in the reported transaction
Shares held after transaction 8,719 shares Direct Penumbra holdings by Harpreet Grewal following the sale
Rule 10b5-1 trading plan financial
"The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan."
A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.
open-market sale financial
"transaction_action: open-market sale"
An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.
vesting financial
"A portion of these shares is subject to vesting."
Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
X
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Grewal Harpreet
(Last)(First)(Middle)
ONE PENUMBRA PLACE
(Street)
ALAMEDA CALIFORNIA 94502
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
Penumbra Inc [ PEN ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
04/02/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock04/02/2026S(1)100D$328.228,719(2)D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
2. A portion of these shares is subject to vesting.
Remarks:
/s/ Emma J. Purdy, as attorney-in-fact for Harpreet Grewal04/06/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Penumbra (PEN) director Harpreet Grewal report?

Harpreet Grewal reported selling 100 shares of Penumbra common stock in an open-market transaction at $328.22 per share on April 2, 2026. This was disclosed in a Form 4 insider filing and reflects a relatively small change in his overall holdings.

How many Penumbra (PEN) shares does Harpreet Grewal hold after the reported sale?

After the reported sale, Harpreet Grewal holds 8,719 shares of Penumbra common stock directly. The filing also notes that a portion of these shares is subject to vesting, meaning some are tied to continued service or performance conditions over time.

At what price did Harpreet Grewal sell Penumbra (PEN) shares in this Form 4?

The 100 Penumbra shares were sold at $328.22 per share in an open-market transaction. This price comes directly from the Form 4 filing and represents the per-share sale price for that specific transaction on April 2, 2026.

Was the Penumbra (PEN) insider sale by Harpreet Grewal under a Rule 10b5-1 plan?

Yes. The footnotes state the sales were effected pursuant to Harpreet Grewal’s Rule 10b5-1 trading plan. Such plans are pre-arranged trading programs, which can indicate the sale timing was scheduled in advance rather than decided opportunistically.

Does the Penumbra (PEN) Form 4 mention vesting conditions on Harpreet Grewal’s shares?

Yes. A footnote explains that a portion of the reported shares is subject to vesting. This means some of Grewal’s holdings are tied to conditions like continued board service or performance milestones, rather than being fully unrestricted at this time.