Welcome to our dedicated page for Penumbra SEC filings (Ticker: PEN), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Penumbra, Inc. (PEN) SEC filings page provides access to the company’s regulatory disclosures as filed with the U.S. Securities and Exchange Commission. These documents include current reports on Form 8-K, annual and quarterly reports, and other materials that together outline Penumbra’s financial condition, major corporate events and obligations as a NYSE-listed issuer.
Among the most significant recent filings is a Form 8-K dated January 15, 2026, in which Penumbra reports entry into an Agreement and Plan of Merger with Boston Scientific Corporation and a Boston Scientific subsidiary. The filing describes the structure of the merger consideration, the mix of cash and Boston Scientific common stock, and the conditions required for closing. It also states that, if the merger is consummated, Penumbra’s securities will be delisted from the New York Stock Exchange and deregistered under the Securities Exchange Act of 1934 as promptly as practicable after the effective time.
Other Form 8-K filings highlighted here include results of operations and financial condition for specific quarters, where Penumbra furnishes earnings press releases as exhibits. These filings discuss revenue growth, gross margin, operating margin and the use of non-GAAP measures such as constant currency revenue, non-GAAP income from operations and adjusted EBITDA. The company explains how these non-GAAP metrics are calculated and why management considers them useful for assessing underlying business performance.
Additional 8-Ks address corporate governance and leadership changes, such as the appointment of a new company president and related compensation arrangements. These filings provide detail on board and executive decisions, equity awards and related person transactions, all within the framework of SEC disclosure requirements.
Through this page, users can follow Penumbra’s formal reporting on material events, financial results and the proposed merger with Boston Scientific. Stock Titan’s platform associates each filing with AI-powered summaries designed to explain the core points of lengthy documents, helping readers quickly understand items such as merger terms, earnings highlights, and key governance changes without having to parse every line of the underlying text.
For deeper research, investors can review the full text of Penumbra’s 10-K and 10-Q reports via the SEC’s EDGAR system, while using the summaries and context on this page as a guide to the most important disclosures affecting PEN and its anticipated transition to a wholly owned subsidiary of Boston Scientific.
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.
Penumbra, Inc. (PEN) – Form 4 insider transaction filed 07/11/2025
Chief Executive Officer and President Adam Elsesser reported an option exercise (Code M) and subsequent open-market sales executed under a pre-arranged Rule 10b5-1 trading plan on 07/09/2025:
- Exercised: 27,976 common shares at an exercise price of $30.00.
- Sold: 15,985 common shares across eight trades at weighted-average prices ranging from $241.09 to $248.79.
After these transactions, Elsesser’s holdings are:
- Direct ownership: 134,432 common shares.
- Indirect ownership: 577,582 common shares held by the Siegel/Elsesser Revocable Trust.
- Derivative holdings: 111,908 vested stock options remaining.
The filing indicates that sales were made primarily to cover the exercise price and associated tax withholdings related to the expiring options. No other corporate events or financial results are disclosed in this filing.
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