Penumbra EVP shares withheld for RSU tax payment

Penumbra Inc executive Johanna Roberts had 186 shares of Common Stock withheld by the company to cover taxes on vesting restricted stock units.

Accepted by SEC EDGAR 03/17/2026 - 07:32 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Penumbra Inc executive Johanna Roberts had 186 shares of Common Stock withheld by the company to cover taxes on vesting restricted stock units. The shares were valued at $336.18 per share for this tax-withholding transaction. After this non-market disposition, she directly holds 67,298 shares of Penumbra Common Stock.

This event reflects routine tax withholding related to equity compensation rather than an open-market sale or discretionary trading decision.

Insider Trade Summary

Exercise Price or Tax Liability: 186 shares

Exercise Price or Tax Liability 1 txn

Insider Roberts Johanna

Role EVP, Gen. Counsel & Secretary

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	186	$336.18	$63K

Holdings After Transaction: Common Stock — 67,298 shares (Direct)

Holdings Before and After: Common Stock, 67,484 to 67,298 shares (Direct)

Footnotes (2)

1. F1. 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. F2. A portion of these shares is subject to vesting.

FAQ

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

What did Penumbra (PEN) EVP Johanna Roberts report in this Form 4?

Johanna Roberts reported that 186 Penumbra shares were withheld by the company to pay tax obligations on vesting restricted stock units. This is a routine compensation-related event, not an open-market trade.

Was Johanna Roberts buying or selling Penumbra (PEN) stock in the market?

She did not execute an open-market trade. The Form 4 shows a tax-withholding disposition, where 186 shares were withheld by Penumbra to satisfy RSU-related tax obligations, rather than being bought or sold on an exchange.

How many Penumbra (PEN) shares were withheld and at what price?

The filing shows 186 shares of Penumbra Common Stock withheld at a value of $336.18 per share. This value is used solely to calculate the tax-withholding amount for the vesting restricted stock units.

How many Penumbra (PEN) shares does Johanna Roberts hold after this transaction?

After the tax-withholding transaction, Johanna Roberts directly holds 67,298 shares of Penumbra Common Stock. This figure reflects her remaining direct ownership following the withholding of 186 shares for tax obligations.

What does the tax-withholding code F mean in Penumbra (PEN) Form 4?

Code F indicates a tax-withholding disposition, where shares are delivered back to the issuer to cover exercise price or tax liabilities. Here, Penumbra withheld 186 shares to satisfy RSU-related tax obligations for Johanna Roberts.

Are any of Johanna Roberts’ Penumbra (PEN) shares still subject to vesting?

Yes. A footnote explains that a portion of her shares remains subject to vesting. This means some of her equity awards will only fully belong to her after meeting specified vesting conditions over time.

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

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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)
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	67,298(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	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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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