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.
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.
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.
PEN Form 3: Shruthi Narayan reported ownership of 19,085 shares of Penumbra Inc common stock, filed as an initial SEC Form 3 reporting a relationship as President and officer. The filing notes that a portion of the shares are subject to vesting. The Form 3 was executed by an attorney-in-fact and dated 09/16/2025 for an event on 09/01/2025, with a remark that the filing was late due to administrative oversight.
PEN Form 3: Shruthi Narayan reported ownership of 19,085 shares of Penumbra Inc common stock, filed as an initial SEC Form 3 reporting a relationship as President and officer. The filing notes that a portion of the shares are subject to vesting. The Form 3 was executed by an attorney-in-fact and dated 09/16/2025 for an event on 09/01/2025, with a remark that the filing was late due to administrative oversight.
Harpreet Grewal, a director of Penumbra, Inc. (PEN), reported a sale of 186 shares of Penumbra common stock on 09/02/2025 at a reported price of $272.19 per share. After the transaction, the reporting person beneficially owned 8,888 shares, noting that a portion of those shares remains subject to vesting.
The filing states the sales were executed under the reporting person’s Rule 10b5-1 trading plan. The Form 4 was signed by an attorney-in-fact on behalf of Harpreet Grewal on 09/04/2025. No options, derivative transactions, or additional material details are disclosed in this filing.
Adam Elsesser, CEO and director of Penumbra, Inc. (PEN), reported transactions dated 09/03/2025 under a Rule 10b5-1 plan. He exercised 27,980 stock options with a $30 exercise price, resulting in acquisition of 27,980 shares. Following the exercise and planned sales to satisfy exercise price and tax withholding, he sold a total of 15,800 shares in multiple trades at weighted average prices of $268.41, $269.26, $270.09, and $270.81 (execution ranges disclosed). After these transactions he directly beneficially owns 182,460 shares; an additional 577,582 shares are held indirectly by the Siegel/Elsesser Revocable Trust. All exercised shares were vested and exercisable.
Penumbra Inc. (PEN) insider sale by EVP, General Counsel & Secretary Johanna Roberts. The Form 4 shows Ms. Roberts sold a total of 600 shares on 09/02/2025 under a Rule 10b5-1 trading plan in multiple trades across five tranches. Reported weighted-average prices per tranche ranged from $269.20 to $273.12, and the share count reported after the sales declined from 65,235 to 64,857. The filing notes portions of the shares remain subject to vesting and the reporting person will provide detailed trade-by-trade pricing on request.
Penumbra, Inc. (PEN) Form 144 notice: An affiliated person proposes to sell 15,800 shares of common stock through Morgan Stanley Smith Barney on 09/03/2025. The shares were acquired the same day by stock option exercise and paid in cash. The filing reports an aggregate market value of $4,260,403.64 for the proposed sale and lists 38,999,129 shares outstanding for the issuer. The notice also discloses six prior open-market sales by the same person between 06/11/2025 and 08/20/2025, totaling 95,865 shares sold in the past three months, with separate gross proceeds reported for each trade. The filer attests there is no undisclosed material adverse information.
Penumbra, Inc. notice reports a proposed sale of 186 shares of common stock through Fidelity Brokerage Services with an aggregate market value of $50,627.34. The shares represent stock awards acquired from Penumbra, Inc. on 03/31/2025. The filing states the approximate date of sale as 09/02/2025 and identifies the NYSE as the exchange. The filer reports 38,999,129 shares outstanding for the class, and indicates no other sales by the person in the past three months.
Penumbra, Inc. appointed Ms. Narayan as President and approved related compensation and disclosure. The company disclosed that Ms. Narayan’s spouse is Founder and CEO of N28 Technologies, an IT service provider that has provided services to Penumbra under commercial agreements totaling approximately $2 million since January 1, 2024. Those transactions were reviewed and approved by the Nominating and Corporate Governance Committee under the company’s Related Person Transaction Policy. In connection with her appointment, the Compensation Committee approved a grant of restricted stock units valued at approximately $2.5 million, effective September 15, 2025, vesting in equal annual installments over four years subject to continued service. Adam Elsesser will remain Chairman and Chief Executive Officer.
Adam Elsesser, CEO and President of Penumbra, Inc. (PEN), exercised stock options and sold a portion of shares on 08/20/2025 under a Rule 10b5-1 plan. He exercised a stock option with a $30 exercise price to acquire 27,976 shares. On the same date he sold multiple blocks of common stock executed under his 10b5-1 trading plan: 459 shares at a weighted average price of $252.86, 9,114 shares at a weighted average price of $254.27, 6,227 shares at a weighted average price of $254.99, and 100 shares at $256.50. Following these transactions his direct beneficial ownership is reported as 170,280 shares. He also holds 577,582 shares indirectly through the Siegel/Elsesser Revocable Trust, all as reported on the Form 4.
Penumbra, Inc. (PEN) Form 144 notice: An insider intends to sell 15,900 shares of Penumbra common stock through Morgan Stanley Smith Barney on 08/20/2025, with an aggregate market value of $4,046,988.84. The shares were acquired the same day via a stock option exercise and paid in cash. The filing lists prior insider sales by the same person, ADAM ELSESSER, totaling six transactions from 05/28/2025 to 08/06/2025, selling between 15,885 and 16,300 shares per trade and generating gross proceeds ranging from $3.77M to $4.37M.
The filer certifies no undisclosed material adverse information. The document is a routine Rule 144 notice describing proposed sale details, acquisition method, broker, and recent insider sales; it does not include company financial results or commentary.