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.
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. 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. (PEN) insider sale notice: A holder intends to sell 2,100 shares of Penumbra common stock on the NYSE through J.P. Morgan Securities LLC. The notice lists 39,162,197 common shares outstanding and an approximate sale date of 11/25/2025.
The 2,100 shares were acquired from the issuer on 12/28/2022 through an option exercise paid in cash. Over the past three months, the same seller has completed three separate sales of 600 Penumbra common shares each, on 09/02/2025, 10/01/2025, and 11/10/2025, with disclosed gross proceeds for each transaction.
By signing the notice, the seller represents that they are not aware of any undisclosed material adverse information about Penumbra’s current or prospective operations.
Penumbra (PEN) filed a Form 144 notice for a planned secondary sale of common stock. A shareholder intends to sell 30,000 shares of Penumbra common stock through J.P. Morgan Securities LLC on the NYSE, with an aggregate market value of $8,393,700. The filing notes that 39,162,177 shares of Penumbra common stock were outstanding at the time of the notice. The shares to be sold were acquired on 05/16/2025 via a transfer from Arani Bose, who originally obtained them as founder shares on 06/23/2015. The seller represents that they are not aware of undisclosed material adverse information about Penumbra.
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.