Penumbra (NYSE: PEN) CFO covers RSU taxes with 186 shares

Rhea-AI Filing Summary

Penumbra Inc Chief Financial Officer Maggie Yuen reported a routine tax-related share disposition. The company withheld 186 shares of common stock at $336.18 per share to satisfy tax obligations tied to vesting restricted stock units. After this withholding, she directly holds 18,167 common shares.

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

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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^*

Yuen Maggie

(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)
	Chief Financial Officer

3. Date of Earliest Transaction (Month/Day/Year)
03/15/2026

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	03/15/2026		F(1)		186	D	$336.18	18,167(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 granted to the Reporting Person.

2. A portion of these shares is subject to vesting.

Remarks:

	/s/ Johanna Roberts, as attorney-in-fact for Maggie Yuen	03/17/2026
	** 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).
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FAQ

What insider transaction did Penumbra (PEN) CFO Maggie Yuen report?

Penumbra CFO Maggie Yuen reported a tax-related share disposition. The company withheld 186 common shares to cover tax obligations arising from vesting restricted stock units, a standard non-market mechanism rather than an open-market sale or discretionary trade.

How many Penumbra (PEN) shares were involved in the CFO’s Form 4 filing?

The Form 4 shows 186 Penumbra common shares were withheld. These shares were retained by the issuer to satisfy tax withholding obligations triggered by restricted stock unit vesting, not sold on the open market or traded through a discretionary transaction.

What price was used for the Penumbra (PEN) CFO tax-withholding shares?

The withheld shares are reported at $336.18 per share. This figure reflects the value used to calculate the tax withholding on vested restricted stock units, rather than a negotiated market sale price chosen by the executive.

How many Penumbra (PEN) shares does CFO Maggie Yuen hold after this transaction?

Following the tax withholding, CFO Maggie Yuen directly holds 18,167 Penumbra common shares. This post-transaction balance reflects her remaining equity position after 186 shares were withheld by the company to cover associated tax obligations.

Was the Penumbra (PEN) CFO’s Form 4 transaction an open-market sale?

No, the transaction was not an open-market sale. The Form 4 describes a tax-withholding disposition where 186 shares were withheld by Penumbra to satisfy tax obligations from restricted stock unit vesting, a routine administrative event.