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Penumbra (NYSE: PEN) EVP & General Counsel reports Rule 10b5-1 stock sales

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

Rhea-AI Filing Summary

Penumbra, Inc. reported insider trading activity by its EVP, General Counsel & Secretary, Johanna Roberts. On 12/01/2025, she executed several small open-market sales of Penumbra common stock under a pre-arranged Rule 10b5-1 trading plan. The reported weighted average sale prices ranged from about $292.09 to $298.02 per share across multiple trades. After these transactions, she beneficially owned 64,136 shares of Penumbra common stock, and a portion of these shares is subject to vesting. All sales were reported as directly owned shares.

Positive

  • None.

Negative

  • None.
Insider Roberts Johanna
Role EVP, Gen. Counsel & Secretary
Sold 600 shs ($177K)
Type Security Shares Price Value
Sale Common Stock 94 $292.09 $27K
Sale Common Stock 39 $293.27 $11K
Sale Common Stock 155 $294.52 $46K
Sale Common Stock 144 $295.38 $43K
Sale Common Stock 80 $296.27 $24K
Sale Common Stock 78 $297.50 $23K
Sale Common Stock 10 $298.02 $3K
Holdings After Transaction: Common Stock — 64,642 shares (Direct)
Footnotes (1)
  1. The sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. This transaction was executed in multiple trades at prices ranging from $291.89 to $292.82. 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. A portion of these shares is subject to vesting. This transaction was executed in multiple trades at prices ranging from $292.96 to $293.73. 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. This transaction was executed in multiple trades at prices ranging from $294.09 to $294.88. 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. This transaction was executed in multiple trades at prices ranging from $294.95 to $295.84. 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. This transaction was executed in multiple trades at prices ranging from $295.92 to $296.82. 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. This transaction was executed in multiple trades at prices ranging from $297.04 to $297.85. 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. This transaction was executed in multiple trades at prices ranging from $297.89 to $298.14. 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.
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).
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)
12/01/2025
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 12/01/2025 S(1) 94 D $292.09(2) 64,642(3) D
Common Stock 12/01/2025 S(1) 39 D $293.27(4) 64,603(3) D
Common Stock 12/01/2025 S(1) 155 D $294.52(5) 64,448(3) D
Common Stock 12/01/2025 S(1) 144 D $295.38(6) 64,304(3) D
Common Stock 12/01/2025 S(1) 80 D $296.27(7) 64,224(3) D
Common Stock 12/01/2025 S(1) 78 D $297.5(8) 64,146(3) D
Common Stock 12/01/2025 S(1) 10 D $298.02(9) 64,136(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 $291.89 to $292.82. 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.
3. A portion of these shares is subject to vesting.
4. This transaction was executed in multiple trades at prices ranging from $292.96 to $293.73. 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 $294.09 to $294.88. 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 $294.95 to $295.84. 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 $295.92 to $296.82. 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.
8. This transaction was executed in multiple trades at prices ranging from $297.04 to $297.85. 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 $297.89 to $298.14. 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 12/03/2025
** 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 insider transaction did Penumbra (PEN) disclose in this Form 4?

The filing reports that Johanna Roberts, Penumbra's EVP, General Counsel & Secretary, made multiple open-market sales of Penumbra common stock on 12/01/2025, all reported as directly owned shares.

Were the Penumbra (PEN) insider sales made under a Rule 10b5-1 trading plan?

Yes. The filing states that the sales were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan, which is a pre-arranged plan for trading company stock.

What prices were reported for Johanna Roberts' Penumbra (PEN) stock sales?

The transactions were reported at weighted average sale prices of $292.09, $293.27, $294.52, $295.38, $296.27, $297.5, and $298.02 per share, each reflecting multiple trades within specified price ranges.

How many Penumbra (PEN) shares does the reporting officer own after these sales?

Following the reported transactions, Johanna Roberts beneficially owned 64,136 shares of Penumbra common stock, with a portion of these shares subject to vesting.

What does the Form 4 say about the trade execution details for Penumbra (PEN)?

For each transaction line, the filing notes that trades were executed in multiple trades within a price range and that the reported price is the weighted average sale price. The reporting person undertakes to provide full trade details upon request.

What is Johanna Roberts' relationship to Penumbra (PEN) as noted in the filing?

She is identified as an Officer of Penumbra, serving as EVP, General Counsel & Secretary, and filed the Form 4 as a single reporting person.