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[Form 4] Penumbra Inc Insider Trading Activity

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4
Rhea-AI Filing Summary

Johanna Roberts, EVP, General Counsel & Secretary of Penumbra Inc (PEN), reported multiple open-market sales executed 10/01/2025 under a Rule 10b5-1 trading plan. The transactions total 600 shares sold in separate blocks at weighted-average prices reported per block (ranging across the disclosures). Following these disposals, Ms. Roberts' beneficial ownership is reported as 64,257 shares. The Form 4 is signed and dated 10/03/2025. The filing notes that a portion of the shares sold were subject to vesting and that the filer will provide trade-level details upon request.

Johanna Roberts, EVP, General Counsel & Secretary di Penumbra Inc (PEN), ha riportato multiple vendite sul mercato aperto eseguite 10/01/2025 nell’ambito di un piano di trading Rule 10b5-1. Le operazioni sommano 600 azioni vendute in blocchi separati a prezzi medi ponderati per blocco (i prezzi riportati variano a seconda delle divulgazioni). Dopo tali cessioni, la proprietà effettiva della signora Roberts è riportata come 64.257 azioni. Il Form 4 è firmato e datato 10/03/2025. La dichiarazione nota che una parte delle azioni vendute era soggetta alla vesting e che l’esponente fornirà dettagli a livello di operazione su richiesta.

Johanna Roberts, EVP, Consejera General y Secretaria de Penumbra Inc (PEN), reportó varias ventas en el mercado abierto ejecutadas 10/01/2025 bajo un plan de negociación Rule 10b5-1. Las transacciones totalizan 600 acciones vendidas en bloques separados a precios promedio ponderados por bloque (los precios divulgados varían). Tras estas cesiones, la titularidad beneficiosa de la Sra. Roberts figura en 64,257 acciones. El Formulario 4 está firmado y fechado el 10/03/2025. La presentación indica que una parte de las acciones vendidas estaban sujetas a vesting y que el declarante proporcionará detalles por operación a solicitud.

조안나 로버츠, Penumbra Inc (PEN)의 EVP, 일반 법무담당 이사 및 비서,은 10/01/2025에 실행된 다수의 공개시장 매매를 Rule 10b5-1 거래 계획에 따라 보고했습니다. 거래 총액은 600 주로, 각 블록마다 가중평균가로 분리된 블록 단위로 매도되었으며(공시별로 가격이 다름). 이러한 처분 후, 로버츠씨의 실소유 지분은 64,257 주로 보고됩니다. Form 4는 10/03/2025에 서명되어 날짜가 기재되어 있습니다. 제출 문서는 매도 주식의 일부가 베스팅(vesting) 대상임을 언급하고 있으며, 거래 단위의 세부 정보는 요청 시 제공될 것이라고 밝힙니다.

Johanna Roberts, EVP, Conseil général & Secrétaire de Penumbra Inc (PEN), a annoncé plusieurs ventes sur le marché libre réalisées le 10/01/2025 dans le cadre d’un plan de trading Rule 10b5-1. Les transactions totalisent 600 actions vendues en blocs séparés à des prix moyens pondérés par bloc (les prix divulgués varient selon les divulgations). Suite à ces cessions, la détention bénéficiaire de Mme Roberts est affichée à 64 257 actions. Le Formulaire 4 est signé et daté du 10/03/2025. Le dépôt note qu’une partie des actions vendues étaient soumises à la vesting et que le déposant fournira des détails au niveau des transactions sur demande.

Johanna Roberts, EVP, General Counsel & Secretary von Penumbra Inc (PEN), meldete mehrere Verkäufe am offenen Markt, die am 01.10.2025 gemäß eines Rule 10b5-1-Handelsplans durchgeführt wurden. Die Transaktionen umfassen insgesamt 600 Aktien, die in separaten Blöcken zu gewogenen Durchschnittspreisen pro Block verkauft wurden (die Preise gemäß den Offenlegungen variieren). Nach diesen Veräußerungen wird Frau Roberts' wirtschaftliches Eigentum mit 64.257 Aktien angegeben. Das Formblatt 4 ist unterzeichnet und datiert mit 03.10.2025. Die Einreichung vermerkt, dass ein Teil der verkauften Aktien der Vesting-Klausel unterliegen und der Einreicher auf Anfrage transaktionsgenaue Details bereitstellen wird.

جوانا روبرتس، نائب الرئيس التنفيذي والمستشار العام والأمين في Penumbra Inc (PEN)، أظهرت عدة مبيعات في السوق المفتوح نفذت في تاريخ 10/01/2025 بموجب خطة تداول Rule 10b5-1. تبلغ مجموع الصفقات 600 سهم بيعت في كتل منفصلة بأسعار متوسطة الوزن لكل كتلة (الأسعار كما وردت في الإفصاحات تختلف). عقب هذه التصرفات، تبلغ الملكية المفيدة للسيدة روبرتس 64,257 سهم. النموذج 4 مُوقّع ومؤرخ بتاريخ 10/03/2025. تشير الإخطارات إلى أن جزءاً من الأسهم المباعة كان خاضعاً لـ vesting وأن المُشِير سيقدم تفاصيل المستوى التداولي عند الطلب.

乔安娜·罗伯茨，Penumbra Inc（PEN）的 EVP, 总法律顾问兼秘书 ，报告在 10/01/2025 根据 Rule 10b5-1 交易计划执行的多笔公开市场交易。交易总计 600 股，分成独立的区块进行售出，按每区块的加权平均价披露（披露中的价格因区而异）。完成这些处置后，罗伯茨女士的受益所有权被记为 64,257 股。Form 4 的签名日期为 2025-10-03。文件指出部分卖出股票受 vesting 约束，申报人将按请求提供交易级别的细节。

Positive
  • Sales executed under a Rule 10b5-1 plan, indicating a pre-established trading arrangement
  • Reporting person disclosed intent to provide full trade-level details upon request
Negative
  • Portion of shares sold were subject to vesting, indicating some disposals involved restricted holdings

Insights

Insider sold 600 shares under a 10b5-1 plan on 10/01/2025.

The filing documents systematic disposals by an officer using a pre-established Rule 10b5-1 plan, which provides an affirmative defense under insider trading rules. The total of the reported sales is 600 shares, executed in multiple trades with weighted-average prices disclosed per block.

This is a routine disclosure of an officer sale; the filer states some shares were subject to vesting, which clarifies that not all holdings were fully vested at time of sale.

Officer-level sale documented; remaining beneficial ownership = 64,257 shares.

The report confirms the reporting person’s role (EVP, Gen. Counsel & Secretary) and that the sales were executed pursuant to a written plan. The signature on 10/03/2025 completes the Section 16 disclosure obligations for these transactions.

Because the filing commits to provide detailed trade-level data on request, stakeholders can obtain exact per-trade prices and quantities from the filer or SEC staff if needed.

Johanna Roberts, EVP, General Counsel & Secretary di Penumbra Inc (PEN), ha riportato multiple vendite sul mercato aperto eseguite 10/01/2025 nell’ambito di un piano di trading Rule 10b5-1. Le operazioni sommano 600 azioni vendute in blocchi separati a prezzi medi ponderati per blocco (i prezzi riportati variano a seconda delle divulgazioni). Dopo tali cessioni, la proprietà effettiva della signora Roberts è riportata come 64.257 azioni. Il Form 4 è firmato e datato 10/03/2025. La dichiarazione nota che una parte delle azioni vendute era soggetta alla vesting e che l’esponente fornirà dettagli a livello di operazione su richiesta.

Johanna Roberts, EVP, Consejera General y Secretaria de Penumbra Inc (PEN), reportó varias ventas en el mercado abierto ejecutadas 10/01/2025 bajo un plan de negociación Rule 10b5-1. Las transacciones totalizan 600 acciones vendidas en bloques separados a precios promedio ponderados por bloque (los precios divulgados varían). Tras estas cesiones, la titularidad beneficiosa de la Sra. Roberts figura en 64,257 acciones. El Formulario 4 está firmado y fechado el 10/03/2025. La presentación indica que una parte de las acciones vendidas estaban sujetas a vesting y que el declarante proporcionará detalles por operación a solicitud.

조안나 로버츠, Penumbra Inc (PEN)의 EVP, 일반 법무담당 이사 및 비서,은 10/01/2025에 실행된 다수의 공개시장 매매를 Rule 10b5-1 거래 계획에 따라 보고했습니다. 거래 총액은 600 주로, 각 블록마다 가중평균가로 분리된 블록 단위로 매도되었으며(공시별로 가격이 다름). 이러한 처분 후, 로버츠씨의 실소유 지분은 64,257 주로 보고됩니다. Form 4는 10/03/2025에 서명되어 날짜가 기재되어 있습니다. 제출 문서는 매도 주식의 일부가 베스팅(vesting) 대상임을 언급하고 있으며, 거래 단위의 세부 정보는 요청 시 제공될 것이라고 밝힙니다.

Johanna Roberts, EVP, Conseil général & Secrétaire de Penumbra Inc (PEN), a annoncé plusieurs ventes sur le marché libre réalisées le 10/01/2025 dans le cadre d’un plan de trading Rule 10b5-1. Les transactions totalisent 600 actions vendues en blocs séparés à des prix moyens pondérés par bloc (les prix divulgués varient selon les divulgations). Suite à ces cessions, la détention bénéficiaire de Mme Roberts est affichée à 64 257 actions. Le Formulaire 4 est signé et daté du 10/03/2025. Le dépôt note qu’une partie des actions vendues étaient soumises à la vesting et que le déposant fournira des détails au niveau des transactions sur demande.

Johanna Roberts, EVP, General Counsel & Secretary von Penumbra Inc (PEN), meldete mehrere Verkäufe am offenen Markt, die am 01.10.2025 gemäß eines Rule 10b5-1-Handelsplans durchgeführt wurden. Die Transaktionen umfassen insgesamt 600 Aktien, die in separaten Blöcken zu gewogenen Durchschnittspreisen pro Block verkauft wurden (die Preise gemäß den Offenlegungen variieren). Nach diesen Veräußerungen wird Frau Roberts' wirtschaftliches Eigentum mit 64.257 Aktien angegeben. Das Formblatt 4 ist unterzeichnet und datiert mit 03.10.2025. Die Einreichung vermerkt, dass ein Teil der verkauften Aktien der Vesting-Klausel unterliegen und der Einreicher auf Anfrage transaktionsgenaue Details bereitstellen wird.

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).
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*
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)
10/01/2025
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 10/01/2025 S(1) 24 D $243.61(2) 64,833(3) D
Common Stock 10/01/2025 S(1) 32 D $244.93(4) 64,801(3) D
Common Stock 10/01/2025 S(1) 35 D $245.68(5) 64,766(3) D
Common Stock 10/01/2025 S(1) 35 D $246.93(6) 64,731(3) D
Common Stock 10/01/2025 S(1) 125 D $247.79(7) 64,606(3) D
Common Stock 10/01/2025 S(1) 23 D $248.67(8) 64,583(3) D
Common Stock 10/01/2025 S(1) 14 D $249.71(9) 64,569(3) D
Common Stock 10/01/2025 S(1) 66 D $250.84(10) 64,503(3) D
Common Stock 10/01/2025 S(1) 144 D $251.81(11) 64,359(3) D
Common Stock 10/01/2025 S(1) 41 D $252.36(12) 64,318(3) D
Common Stock 10/01/2025 S(1) 20 D $254.05(13) 64,298(3) D
Common Stock 10/01/2025 S(1) 36 D $254.96(14) 64,262(3) D
Common Stock 10/01/2025 S(1) 5 D $256.63(15) 64,257(3) 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. The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
2. This transaction was executed in multiple trades at prices ranging from $243.26 to $244.06. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.
3. A portion of these shares is subject to vesting.
4. This transaction was executed in multiple trades at prices ranging from $244.34 to $245.22. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.
5. This transaction was executed in multiple trades at prices ranging from $245.37 to $246.09. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.
6. This transaction was executed in multiple trades at prices ranging from $246.47 to $247.22. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.
7. This transaction was executed in multiple trades at prices ranging from $247.32 to $248.24. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.
8. This transaction was executed in multiple trades at prices ranging from $248.30 to $249.21. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.
9. This transaction was executed in multiple trades at prices ranging from $249.42 to $249.82. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.
10. This transaction was executed in multiple trades at prices ranging from $250.32 to $251.20. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.
11. This transaction was executed in multiple trades at prices ranging from $251.35 to $252.17. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.
12. This transaction was executed in multiple trades at prices ranging from $252.26 to $252.52. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.
13. This transaction was executed in multiple trades at prices ranging from $253.93 to $254.19. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.
14. This transaction was executed in multiple trades at prices ranging from $254.76 to $255.23. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.
15. This transaction was executed in multiple trades at prices ranging from $256.59 to $256.64. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected.
Remarks:
/s/ Johanna Roberts 10/03/2025
** 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 did Penumbra insider Johanna Roberts sell (PEN)?

Ms. Roberts sold a total of 600 shares of Penumbra common stock in multiple transactions on 10/01/2025.

Were the sales made under a 10b5-1 plan?

Yes. The Form 4 states the sales were effected pursuant to the reporting person's Rule 10b5-1 trading plan.

How many shares does Johanna Roberts beneficially own after the trades?

The filing reports beneficial ownership of 64,257 shares following the reported transactions.

Are the exact per-trade prices and quantities available?

The Form 4 reports weighted-average prices per block and states the filer will provide full trade-level details to the SEC staff, issuer, or a security holder upon request.

What is Johanna Roberts' role at Penumbra?

She is reported as EVP, General Counsel & Secretary and is an officer of the company.
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Penumbra Inc

NYSE:PEN

PEN Rankings

#926 Ranked by Market Cap
N/A Ranked by Dividends

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PEN Latest SEC Filings

Oct 3, 2025
[Form 4] Penumbra Inc Insider Trading Activity
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Oct 1, 2025
[144] Penumbra Inc SEC Filing
Sep 16, 2025
[Form 4] Penumbra Inc Insider Trading Activity

PEN Stock Data

9.99B
37.51M
3.66%
93.38%
4.59%
Medical Devices
Surgical & Medical Instruments & Apparatus
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United States
ALAMEDA