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Penumbra officer Johanna Roberts files Form 4 for RSUs

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

Rhea-AI Filing Summary

Penumbra, Inc. executive Johanna Roberts, EVP, General Counsel & Secretary, reported equity transactions in the company’s common stock. On November 15, 2025, a total of 701 shares of common stock were withheld by Penumbra to cover tax obligations tied to vesting restricted stock units (RSUs), reducing her directly held shares to 62,956. On November 17, 2025, she received a grant of 3,580 RSUs under Penumbra’s Amended and Restated 2014 Equity Incentive Plan at a price of $0, bringing her directly beneficially owned common stock to 66,536 shares, a portion of which remains subject to vesting. One quarter of the new RSU grant is scheduled to vest annually beginning on November 15, 2026, conditioned on continued service.

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Insider Roberts Johanna
Role EVP, Gen. Counsel & Secretary
Type Security Shares Price Value
Grant/Award Common Stock 3,580 $0.00 --
Tax Withholding Common Stock 156 $280.07 $44K
Tax Withholding Common Stock 545 $280.07 $153K
Holdings After Transaction: Common Stock — 66,536 shares (Direct)
Footnotes (1)
  1. Shares were withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units (RSUs) granted to the Reporting Person. A portion of these shares is subject to vesting. On November 17, 2025, the Reporting Person was granted 3,580 RSUs under the Issuer's Amended and Restated 2014 Equity Incentive Plan, of which 1/4 of the RSUs will vest equally on an annual basis, beginning on November 15, 2026, subject to continued service by the Reporting Person on the applicable vesting date.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED 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).
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*
Roberts Johanna
(Last) (First) (Middle)
ONE PENUMBRA PLACE
(Street)
ALAMEDA CA 94502
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Penumbra Inc [ PEN ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP, Gen. Counsel & Secretary
3. Date of Earliest Transaction (Month/Day/Year)
11/15/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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)
Code V Amount (A) or (D) Price
Common Stock 11/15/2025 F(1) 156 D $280.07 63,501(2) D
Common Stock 11/15/2025 F(1) 545 D $280.07 62,956(2) D
Common Stock 11/17/2025 A 3,580(3) A $0 66,536(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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Shares were withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units (RSUs) granted to the Reporting Person.
2. A portion of these shares is subject to vesting.
3. On November 17, 2025, the Reporting Person was granted 3,580 RSUs under the Issuer's Amended and Restated 2014 Equity Incentive Plan, of which 1/4 of the RSUs will vest equally on an annual basis, beginning on November 15, 2026, subject to continued service by the Reporting Person on the applicable vesting date.
Remarks:
/s/ Johanna Roberts 11/18/2025
** Signature of Reporting Person Date
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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Penumbra (PEN) report for Johanna Roberts?

The filing reports tax-related share withholdings on vested RSUs and a new grant of 3,580 restricted stock units (RSUs) to Johanna Roberts, EVP, General Counsel & Secretary of Penumbra, Inc..

How many Penumbra (PEN) shares does Johanna Roberts beneficially own after these transactions?

Following the reported transactions, Johanna Roberts beneficially owns 66,536 shares of Penumbra common stock in direct ownership, with a portion subject to vesting.

Why were some Penumbra (PEN) shares withheld from Johanna Roberts?

156 shares and 545 shares of Penumbra common stock were withheld by the company on November 15, 2025 to satisfy tax withholding obligations related to the vesting of RSUs granted to Johanna Roberts.

What are the terms of the new RSU grant to Johanna Roberts at Penumbra (PEN)?

On November 17, 2025, Johanna Roberts received 3,580 RSUs under Penumbra’s Amended and Restated 2014 Equity Incentive Plan. One quarter of the RSUs will vest on an annual basis starting November 15, 2026, subject to her continued service on each vesting date.

Did Johanna Roberts pay cash for the new Penumbra (PEN) RSU grant?

No cash was paid for the new equity grant; the 3,580 RSUs were granted at a price of $0 as part of Penumbra’s equity incentive compensation.

What is Johanna Roberts’ role at Penumbra (PEN)?

Johanna Roberts is reported as an officer of Penumbra, Inc., serving as EVP, General Counsel & Secretary, and is a reporting person for these equity transactions.