Every Form 4 that Penumbra Inc (PEN) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow PEN and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full PEN filings page.
Penumbra Inc (PEN) reported that its President, as the reporting person, received a grant of 3,060 restricted stock units (RSUs) on August 17, 2026 under Penumbra’s Amended and Restated 2014 Equity Incentive Plan. The RSUs vest in four equal annual tranches beginning August 15, 2027, subject to continued service, with an alternative vesting schedule if the Closing under a January 14, 2026 merger agreement occurs. Following this award, the reporting person holds 33,880 common shares, including 65 shares acquired through Penumbra’s Employee Stock Purchase Plan.
Penumbra Inc director and CEO Adam Elsesser reported a charitable stock gift by a related trust. The Siegel/Elsesser Revocable Trust transferred 77,000 shares of Penumbra common stock as a bona fide gift, identified in the footnotes as a charitable donation to a Massachusetts school. After the transaction, the trust’s indirect holdings reported for Elsesser totaled 683,042 shares of common stock. This was a non-cash transfer at a stated price of zero per share and does not represent an open-market sale.
Penumbra Inc director Harpreet Grewal reported an open-market sale of 100 shares of common stock at $328.22 per share on April 2, 2026. After this transaction, Grewal directly holds 8,719 shares. The filing notes the sale was made under a pre-arranged Rule 10b5-1 trading plan, and a portion of the remaining shares is subject to vesting.
Penumbra Inc President Shruthi Narayan reported a routine tax-withholding share disposition. On the vesting of restricted stock units, 117 shares of common stock were withheld by the company to satisfy tax obligations at an indicated value of $336.18 per share. After this non-market event, Narayan directly holds 30,755 shares of Penumbra common stock, and a portion of these shares remains subject to vesting.
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.
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.
Penumbra Inc’s Chief Accounting Officer Lambert Shiu reported a routine tax-related share disposition. On March 15, 2026, 150 shares of common stock were withheld by the company at $336.18 per share to satisfy tax obligations from vesting restricted stock units. After this tax-withholding transaction, Shiu directly owns 39,323 shares of Penumbra common stock and indirectly holds 300 shares through a spouse’s IRA.
Penumbra Inc’s chief financial officer, Maggie Yuen, sold 2,432 shares of common stock in an open-market transaction at $342.30 per share. The sale was carried out under her Rule 10b5-1 trading plan, which pre-arranges trades. After this transaction, she directly owns 18,353 shares, and a portion of these shares is subject to vesting.
Grewal Harpreet reported acquisition or exercise transactions in this Form 4 filing.
Penumbra director Harpreet Grewal received a grant of 589 shares of common stock in the form of restricted stock units at no cost. The RSUs vest in four equal parts on March 31, June 30, September 30 and December 31 2026, if he continues serving as a director.
If the closing of the previously signed merger with Boston Scientific Corporation and Pinehurst Merger Sub, Inc. occurs, any unvested RSUs will fully vest at that closing, again subject to his continued service. After this award, he directly holds 8,819 Penumbra shares, with a portion still subject to vesting.
Penumbra Inc director Arani Bose reported an equity award and updated share holdings. On February 13, 2026, Dr. Bose acquired 589 shares of common stock through a grant or award with a price of $0.00 per share, bringing his directly held total to 1,147 shares.
Footnotes explain these are restricted stock units vesting in four equal installments on March 31, 2026, June 30, 2026, September 30, 2026, and December 31, 2026, subject to his continued board service. Any unvested units will fully vest if the merger closing described in the cited Agreement and Plan of Merger occurs while he remains a director. The filing also notes 258,462 shares of common stock are held indirectly through Bose Family Holdings II, LLC.
Leeds Janet reported acquisition or exercise transactions in this Form 4 filing.
Penumbra Inc director Janet Leeds received an equity grant of 589 shares of common stock in the form of restricted stock units (RSUs) at no cash cost. The award increases her directly held shares to 6,639.
The RSUs vest in four equal installments on March 31, 2026, June 30, 2026, September 30, 2026, and December 31, 2026, as long as she continues serving as a director through each date. If the Closing of the referenced merger with Boston Scientific Corporation occurs, any RSUs still unvested at that time will fully vest at Closing, again conditioned on her continued board service.
O'Rourke Bridget reported acquisition or exercise transactions in this Form 4 filing.
Penumbra director Bridget O'Rourke reported an equity award of 589 shares of common stock in the form of restricted stock units (RSUs). The award was granted at no cash cost and increased her directly held common stock to 5,962 shares after the transaction.
The RSUs vest in four equal installments on March 31, 2026, June 30, 2026, September 30, 2026, and December 31, 2026, as long as she continues serving as a director through each date. If the Closing of the merger with Boston Scientific Corporation described in the merger agreement occurs, any unvested RSUs will fully vest at that Closing, subject to her continued board service through that date.
Sarna Surbhi reported acquisition or exercise transactions in this Form 4 filing.
Penumbra Inc director Surbhi Sarna reported an equity award of 589 shares of common stock in the form of restricted stock units (RSUs). The grant was recorded at a price of $0.00 per share, reflecting a stock-based compensation award rather than an open-market purchase.
The RSUs are scheduled to vest in four equal installments on March 31, 2026, June 30, 2026, September 30, 2026, and December 31, 2026, subject to her continued service as a director through each date. The filing states that if the Closing of the merger described in the January 14, 2026 Agreement and Plan of Merger among Penumbra, Boston Scientific Corporation, and Pinehurst Merger Sub, Inc. occurs, any unvested RSUs will fully vest at that Closing, again conditioned on her continued board service through that date. After this grant, she reports beneficial ownership of 4,293 shares of Penumbra common stock, a portion of which remains subject to vesting.
Penumbra director Thomas Wilder reported an equity award and updated holdings. He acquired 589 shares of common stock via restricted stock units granted at no cost, which vest in four equal installments on March 31, June 30, September 30, and December 31, 2026. The filing also notes 4,506 shares held indirectly through the Thomas and Catharine Wilder Family Trust dated March 31, 2006.
Penumbra Inc executive Johanna Roberts, EVP, General Counsel & Secretary, reported equity compensation activity in the form of restricted stock units (RSUs) and related tax withholding. On February 13, 2026, she was granted 2,630 RSUs that vest in four equal installments on February 15 of 2026, 2027, 2028 and 2029, subject to continued service. On February 17, 2026, she received another 2,630 RSUs, vesting annually in four equal installments beginning February 15, 2027, also subject to continued service. The footnotes state that if the Closing of the merger agreement among Penumbra, Boston Scientific Corporation and Pinehurst Merger Sub, Inc. occurs, any unvested RSUs from these grants will fully vest at that Closing, provided she remains in service through that date. In connection with RSU vesting, 482 shares of common stock were disposed of at $339.30 per share to cover tax withholding obligations, a non-open-market, tax-withholding disposition. Following these transactions, she directly owned tens of thousands of Penumbra common shares, with portions subject to vesting.
Penumbra Inc Chief Financial Officer Maggie Yuen reported multiple equity-related transactions in company common stock. On February 13, 2026, she was granted 2,630 restricted stock units (RSUs) under Penumbra’s Amended and Restated 2014 Equity Incentive Plan, scheduled to vest in four equal annual installments starting February 15, 2026, subject to continued service. On February 17, 2026, she received an additional 2,630 RSUs, vesting annually beginning February 15, 2027, also subject to continued service. Any unvested RSUs from these grants will fully vest if the Closing of the merger with Boston Scientific Corporation and Pinehurst Merger Sub, Inc., as defined in the January 14, 2026 merger agreement, occurs while she remains in service. In connection with RSU vesting, 481 shares of common stock were withheld by Penumbra on February 15, 2026 at $339.30 per share to satisfy tax withholding obligations, a tax-withholding disposition rather than an open-market sale. Following these transactions, Yuen directly owned 20,785 shares of Penumbra common stock.
Penumbra Inc Chief Accounting Officer Lambert Shiu reported multiple equity compensation transactions involving company common stock. On February 13, 2026, he was granted 2,300 restricted stock units (RSUs) at $0 under Penumbra's Amended and Restated 2014 Equity Incentive Plan, with one quarter scheduled to vest on each of February 15, 2026, 2027, 2028 and 2029, subject to continued service. On February 17, 2026, he received an additional 2,300 RSUs at $0, vesting in four equal annual installments beginning February 15, 2027, also subject to continued service.
The filing notes that if the Closing defined in the January 14, 2026 merger agreement with Boston Scientific Corporation occurs, any unvested RSUs from these grants will fully vest at that Closing, provided he remains in service through that date. On February 15, 2026, 412 shares of common stock were disposed of at $339.30 per share to satisfy tax withholding obligations related to RSU vesting, rather than an open-market sale. After these transactions, he directly owned 39,473 shares of Penumbra common stock, a portion of which remains subject to vesting, and an additional 300 shares are held indirectly through his spouse's IRA.
Penumbra Inc President Shruthi Narayan reported equity compensation and related tax share withholding. On February 13, 2026, she received a grant of 2,630 restricted stock units (RSUs) that vest in four equal annual installments on February 15, 2026, 2027, 2028 and 2029, subject to continued service. On February 15, 2026, 705 common shares were withheld at $339.30 per share to satisfy tax obligations upon RSU vesting, a non‑market disposition. On February 17, 2026, she received an additional 2,630 RSUs vesting in four equal annual installments beginning February 15, 2027. The RSU footnotes state that if the Closing defined in the January 14, 2026 merger agreement with Boston Scientific Corporation occurs, any unvested RSUs will fully vest at that Closing, subject to continued service through that date.
Penumbra Inc.'s president, Shruthi Narayan, reported a routine tax‑related share withholding. On January 15, 2026, the issuer withheld 286 shares of common stock at $350.49 per share to cover tax obligations arising from the vesting of restricted stock units granted to her. Following this transaction, Narayan beneficially owns 26,317 shares of Penumbra common stock, held directly. This reflects an administrative adjustment tied to equity compensation rather than an open‑market sale.
Penumbra Inc. director Harpreet Grewal reported a small insider sale of common stock. On January 6, 2026, Grewal sold 186 shares of Penumbra common stock at a price of $312.64 per share under a pre-arranged Rule 10b5-1 trading plan. After this transaction, Grewal directly beneficially owned 8,230 shares of Penumbra common stock.
Penumbra Inc. director Thomas C. Wilder reported a small sale of company stock. On 01/02/2026, he sold 186 shares of Penumbra common stock at a price of $310.72 per share, coded as a sale transaction. Following this trade, he no longer holds shares directly but continues to beneficially own 4,506 shares indirectly through the Thomas and Catharine Wilder Family Trust dated March 31, 2006.
The filing notes that the sale was carried out under a pre-established Rule 10b5-1 trading plan, which is designed to allow insiders to sell shares according to predetermined instructions.
Penumbra Inc's chief financial officer, Maggie Yuen, reported a tax-related share withholding tied to her equity compensation. On 12/15/2025, 565 shares of Penumbra common stock were withheld by the company at a price of $309.15 per share, identified with transaction code F for tax withholding.
After this transaction, Yuen beneficially owned 16,006 Penumbra shares, some of which remain subject to vesting. The total includes 15 shares purchased under Penumbra's Employee Stock Purchase Plan on November 19, 2025. The filing characterizes the withholding as satisfying tax obligations arising from the vesting of restricted stock units previously granted to her.
Penumbra’s chief accounting officer, Lambert Shiu, reported an insider transaction involving 300 shares of common stock on 12/15/2025. The 300 shares were withheld by the company to cover tax withholding obligations triggered by the vesting of restricted stock units previously granted to him.
After this transaction, Shiu beneficially owns 35,285 Penumbra common shares directly, with a portion of these shares still subject to vesting and including 20 shares purchased under the company’s Employee Stock Purchase Plan on November 19, 2025. He also indirectly owns 300 shares held in his spouse’s IRA.
Penumbra Inc. executive Johanna Roberts, EVP, General Counsel & Secretary, reported a tax-related share withholding tied to equity compensation. On 12/15/2025, 1,130 shares of Penumbra common stock were disposed of at $309.15 per share under transaction code F, which indicates shares withheld to satisfy tax obligations on vesting restricted stock units.
After this transaction, she beneficially owns 62,706 shares of Penumbra common stock, and a portion of these shares remains subject to vesting. No derivative securities transactions were reported.
Penumbra Inc. director Arani Bose reported multiple open-market sales of Penumbra common stock on 12/11/2025, carried out under a pre-arranged Rule 10b5-1 trading plan. The transactions, all coded as sales, were executed in several tranches, including 2,030 shares at a weighted average price of $305.19, 4,946 shares at $306.6, and 3,523 shares at $311.47, with other trades priced in the general range of $305–$312 per share.
Following one of the reported transactions, the filing shows 258,462 shares of Penumbra common stock beneficially owned indirectly through Bose Family Holdings II, LLC, and a portion of these shares is subject to vesting. The filing emphasizes that several trades were executed in multiple lots within stated price ranges, with the weighted average prices reported and full trade details available upon request.
Penumbra Inc. executive vice president, general counsel and secretary reported a small stock sale under a pre-arranged trading plan. On 12/05/2025, the reporting person sold 300 shares of Penumbra common stock at a weighted average price of $300.13 per share under a Rule 10b5-1 trading plan, which allows preset trades to occur over time. After this transaction, the insider beneficially owned 63,836 shares of Penumbra common stock, a portion of which remains subject to vesting.
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.
Penumbra, Inc. director reports small stock sale under 10b5-1 plan
A Penumbra Inc (ticker PEN) director reported selling 100 shares of common stock on 12/02/2025 at a price of $292.98 per share. After this transaction, the reporting person beneficially owns 8,416 shares of Penumbra common stock. The filing notes that the sale was executed under the director’s pre-established Rule 10b5-1 trading plan, which is designed to permit scheduled trades. The company also discloses that a portion of the remaining shares is still subject to vesting conditions.
Penumbra Inc. executive reports small stock sale under trading plan
Penumbra Inc.'s EVP, General Counsel & Secretary, Johanna Roberts, reported selling 1,800 shares of the company's common stock on 11/25/2025. The sale was made under a pre-arranged Rule 10b5-1 trading plan, which is designed to allow insiders to trade shares according to a set schedule. The weighted average sale price was $300.06 per share, with individual trades executed between $300.00 and $300.54.
After this transaction, Roberts beneficially owns 64,736 shares of Penumbra common stock, and a portion of these shares remains subject to vesting, meaning they will be earned over time based on continued service or other conditions.
Penumbra Inc. (PEN) director Arani Bose reported recent changes in his holdings of the company’s common stock. On 11/25/2025, an affiliate entity, Bose Family Holdings II, LLC, sold 7,500 shares of Penumbra common stock at a weighted average price of $300.19 per share, executed under a pre-arranged Rule 10b5-1 trading plan. On 11/26/2025, the reporting person made a bona fide gift of 1,799 shares with no payment in consideration. Following these transactions, the filing shows 273,462 shares of Penumbra common stock held indirectly through Bose Family Holdings II, LLC and an additional 558 shares, a portion of which is subject to vesting.
Penumbra Inc. (PEN) director Arani Bose reported share sales in the company’s stock. On 11/21/2025, an indirect ownership vehicle sold 7,338 shares of Penumbra common stock at a weighted average price of $290.55, followed by a sale of 162 shares at a weighted average price of $291.09. The sales were made under a pre-arranged Rule 10b5-1 trading plan, which is designed to allow insiders to sell shares according to a preset schedule.
After these transactions, the reporting person beneficially owned 282,761 shares of Penumbra common stock indirectly through Bose Family Holdings II, LLC. A portion of the reported shares is subject to vesting, meaning some shares may become fully owned over time based on conditions such as continued service or performance.
Penumbra Inc. reported insider equity activity by its Chief Financial Officer, Maggie Yuen. On November 17, 2025, she was granted 3,580 restricted stock units (RSUs) under Penumbra's Amended and Restated 2014 Equity Incentive Plan. One quarter of these RSUs will vest each year on November 15, beginning in 2026, subject to her continued service.
On November 15, 2025, Penumbra withheld 364 shares of common stock and separately 327 shares to cover tax withholding obligations related to vesting RSUs. After these transactions and the new grant, Yuen beneficially owned 16,556 shares of Penumbra common stock directly.
Penumbra, Inc. (PEN) reported an insider equity transaction involving its President, Shruthi Narayan. On 11/15/2025, the company withheld 358 shares of common stock at a price of $280.07 per share. These shares were withheld to cover tax obligations that arose when previously granted restricted stock units vested.
After this tax withholding transaction, Narayan beneficially owned 26,603 shares of Penumbra common stock in direct ownership, and a portion of these shares remains subject to vesting. The filing is a routine disclosure of equity compensation and related tax withholding rather than an open-market purchase or sale.
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.
Penumbra, Inc. executive Johanna Roberts, EVP, General Counsel & Secretary, reported equity transactions in the company’s common stock. On November 15, 2025, a total of 701 shares of common stock were withheld by Penumbra to cover tax obligations tied to vesting restricted stock units (RSUs), reducing her directly held shares to 62,956. On November 17, 2025, she received a grant of 3,580 RSUs under Penumbra’s Amended and Restated 2014 Equity Incentive Plan at a price of $0, bringing her directly beneficially owned common stock to 66,536 shares, a portion of which remains subject to vesting. One quarter of the new RSU grant is scheduled to vest annually beginning on November 15, 2026, conditioned on continued service.
Penumbra (PEN) reported insider transactions by its EVP, General Counsel & Secretary. On 11/10/2025, the officer sold small blocks of common stock in multiple open‑market trades executed under a Rule 10b5-1 trading plan. Weighted average sale prices by lot ranged from $263.58 to $269.56. Following these sales, the reporting person beneficially owned 63,657 shares directly. A portion of these shares is subject to vesting.
Penumbra (PEN) disclosed an insider transaction by Director Harpreet Grewal. On 11/04/2025, the reporting person sold 186 shares of common stock at a price of $227.58 per share, coded as “S.” The filing notes the sale was made under a Rule 10b5-1 trading plan. Following the transaction, 8,516 shares are beneficially owned in direct form. The filing also states that a portion of these shares is subject to vesting.
Penumbra (PEN) reported an insider transaction by its President, Shruthi Narayan. On 10/15/2025, 1,294 shares of common stock were withheld at $252.61 per share to satisfy tax withholding obligations tied to the vesting of restricted stock units.
Following the transaction, the reporting person beneficially owned 26,961 shares directly. The filing notes that a portion of these shares is subject to vesting.
Penumbra (PEN) director Harpreet Grewal reported a sale of common stock. On 10/02/2025, the reporting person sold 186 shares at $248.61 per share under a Rule 10b5-1 trading plan. Following the transaction, the filer directly beneficially owned 8,702 shares. A portion of these shares is subject to vesting.
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.
Penumbra Inc. (PEN) director Thomas C. Wilder reported a sale of 186 shares of common stock on 10/01/2025 at a price of $253.93 per share. The filing states the sale was executed under the reporting person’s Rule 10b5-1 trading plan. After the sale the report shows the reporting person beneficially owns 186 shares directly and 4,506 shares indirectly through the Thomas and Catharine Wilder Family Trust dated March 31, 2006. The filing also notes that a portion of the reported shares are subject to vesting.
The Form 4 was signed by an attorney-in-fact on behalf of Mr. Wilder on 10/03/2025. No options, derivative transactions, earnings figures, or other corporate actions are disclosed in this form; it records a single small open-market sale and the current direct and indirect holdings disclosed by the reporting person.
Pursuant to a Form 4, Penumbra Inc. director and officer Shruthi Narayan was granted 9,170 restricted stock units (RSUs) on 09/15/2025 under the companys Amended and Restated 2014 Equity Incentive Plan. The RSUs vest 25% on each annual anniversary beginning 09/15/2026, subject to continued service. Following the grant, the reporting persons beneficial ownership is reported as 28,255 shares, with a portion of those shares subject to vesting.