Penumbra, Inc. filings document the regulatory record for a NYSE-listed medical-device company focused on thrombectomy technologies for stroke, pulmonary embolism, venous thromboembolism, and acute limb ischemia. Form 8-K reports cover operating results, material-event disclosures, material agreements, capital-structure matters, and clinical or regulatory updates involving its thrombectomy portfolio.
Proxy materials describe shareholder voting matters, governance practices, compensation arrangements, and capital-structure proposals. The filing record also includes disclosures on risk factors, financial condition, executive appointments and compensatory arrangements, and the company's common stock registered under the symbol PEN on the New York Stock Exchange.
Penumbra Inc. (PEN) EVP, General Counsel & Secretary Johanna Roberts reported multiple sales of Penumbra common stock executed on 08/11/2025 pursuant to a Rule 10b5-1 trading plan. The filing shows five transactions totaling 600 shares, with reported weighted average prices ranging from $237.10 to $240.91 and execution price ranges disclosed between $236.83 and $240.78. Following these disposals reported beneficial ownership declined from 66,039 shares to 65,457 shares. The filer notes that a portion of the shares is subject to vesting and that full trade-level details will be provided to the SEC staff, the issuer or a security holder upon request.
Penumbra, Inc. submitted a Form 144 notifying a proposed sale under Rule 144 of 12,000 shares of its common stock through J.P. Morgan Securities LLC. The filing reports an aggregate market value of $2,982,600 for the shares, an approximate sale date of 08/13/2025, and lists the securities exchange as the NYSE. The filing also shows 38,999,129 shares outstanding.
The 12,000 shares were acquired on 06/22/2004 as founder stock from the issuer. The filer reports "Nothing to Report" for securities sold during the past three months and includes the standard representation that the selling person does not know of undisclosed material adverse information about the issuer.
Penumbra, Inc. submitted a Form 144 reporting a proposed sale of 2,000 common shares through Morgan Stanley Smith Barney LLC with an aggregate market value of $500,000. The filing lists 38,999,129 shares outstanding and specifies the approximate sale date as 08/13/2025 on the NYSE. The notice shows no securities sold in the past three months under the provided "Nothing to Report" entry.
The 2,000 shares to be sold match earlier restricted stock acquisitions recorded in the filing: 338 shares on 12/16/2020, 612 on 11/15/2022, 726 on 12/16/2022, and 324 on 03/15/2024, totaling 2,000 shares. The filer makes the required representation regarding material nonpublic information and mentions Rule 10b5-1 instructions if applicable.
Penumbra, Inc. filed a Form 144 notifying an intended sale of 372 common shares through Morgan Stanley Smith Barney LLC with an aggregate market value of $89,339.52. The filing lists 38,999,129 shares outstanding and an approximate sale date of 08/12/2025 on the NYSE. The 372 shares were acquired as restricted stock in two grants of 186 shares each, dated 03/31/2025 and 06/30/2025, with payment noted as Not Applicable. The filing reports Nothing to Report for securities sold in the past three months and includes the seller's representation that they do not possess undisclosed material adverse information, with reference to Rule 10b5-1 plan language.
Adam Elsesser, CEO and President of Penumbra Inc. (PEN), reported an option exercise and planned sales under a Rule 10b5-1 trading plan on 08/06/2025. He acquired 27,976 shares by exercising options at a $30 conversion price and sold five blocks totaling 16,030 shares at weighted-average prices ranging from $236.78 to $240.56. Direct beneficial ownership decreased from 174,234 to 158,204 shares; an additional 577,582 shares are held indirectly by the Siegel/Elsesser Revocable Trust. The filing notes the sales were effected to satisfy exercise price and tax withholding obligations and were implemented pursuant to the 10b5-1 plan.
Penumbra (PEN) – CEO Adam Elsesser Form 4 filing (23 Jul 2025):
The CEO exercised 27,976 stock options at a $30 strike that were set to expire on 16 Sep 2025, immediately selling 16,150 shares under a pre-arranged Rule 10b5-1 plan at weighted-average prices of $232-$234. After the transactions, his direct ownership increased to 146,258 common shares, while he still holds 577,582 shares through the Siegel/Elsesser Revocable Trust and 83,932 fully vested options.
Proceeds from the sale likely funded the exercise price and tax obligations. The filing does not signal operational changes and leaves the CEO with a substantial equity position, but the market may view the discretionary share sales as a mildly negative sentiment indicator.