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[Form 4] Penumbra Inc Insider Trading Activity

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

Rhea-AI Filing Summary

Penumbra, Inc. (PEN) reported insider equity activity for Chief Accounting Officer Lambert Shiu. On November 15, 2025, the company withheld 346 and 506 shares of common stock at $280.07 per share to cover tax obligations tied to vesting restricted stock units (RSUs). On November 17, 2025, Shiu received a grant of 3,580 RSUs under Penumbra's Amended and Restated 2014 Equity Incentive Plan, which will vest in four equal annual installments beginning on November 15, 2026, subject to continued service. After these transactions, Shiu beneficially owned 35,565 Penumbra shares directly, including shares subject to vesting, plus 300 shares held indirectly through a spouse's IRA.

Positive

  • None.

Negative

  • None.
Insider Shiu Lambert
Role Chief Accounting Officer
Type Security Shares Price Value
Grant/Award Common Stock 3,580 $0.00 $0.00
Exercise Price or Tax Liability Common Stock 346 $280.07 $97K
Exercise Price or Tax Liability Common Stock 506 $280.07 $142K
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 35,565 shares (Direct); Common Stock — 300 shares (Indirect, By Spouse's IRA)
Footnotes (5)
  1. F1. 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. F2. A portion of these shares is subject to vesting.
  3. F3. Includes 81 shares purchased by the Reporting Person under the Issuer's Employee Stock Purchase Plan on May 19, 2025.
  4. F4. 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.
  5. F5. Shares are held by the Reporting Person's spouse in an IRA.

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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*
Shiu Lambert
(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 Accounting Officer
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) 346 D $280.07 32,491(2)(3) D
Common Stock 11/15/2025 F(1) 506 D $280.07 31,985(2)(3) D
Common Stock 11/17/2025 A 3,580(4) A $0 35,565(2)(3) D
Common Stock 300 I By Spouse's IRA(5)
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. Includes 81 shares purchased by the Reporting Person under the Issuer's Employee Stock Purchase Plan on May 19, 2025.
4. 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.
5. Shares are held by the Reporting Person's spouse in an IRA.
Remarks:
/s/ Johanna Roberts, as attorney-in-fact for Lambert Shiu 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