Penumbra Inc
For the period ended Mar 31, 2026. Filed May 6, 2026.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 31, 2026 · Filed May 6, 2026
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Item 5. Other Information
Rule 10b5-1 Trading Plans
During the quarterly period ended March 31, 2026, certain of our directors and officers terminated trading plans, each of which was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act (the “Rule 10b5-1 Trading Arrangements”). The following table presents the material terms of each Rule 10b5-1 Trading Arrangement terminated by our officers and directors during the three months ended March 31, 2026, other than terms with respect to the price at which the individual executing the Rule 10b5-1 Trading Arrangement was authorized to trade:
| Name and Title of Officer or Director | Plan Action | Plan Action Date | Plan Duration | Total Securities to be Sold |
|---|---|---|---|---|
| Arani Bose, Director | Termination(1) | 2/6/2026 | 3/2/2026 - 8/31/2026 | 30,000 |
| Adam Elsesser, Chairman and Chief Executive Officer | Termination(2) | 1/22/2026 | 3/25/2026 - 9/24/2026 | 90,000 |
| Bridget O'Rourke, Director | Termination(3) | 1/23/2026 | 3/2/2026 - 11/12/2026 | 500 |
| Johanna Roberts, Executive Vice President, General Counsel and Secretary | Termination(4) | 1/22/2026 | 3/9/2026 - 12/31/2026 | 9,000 |
(1)As of the termination date of his Rule 10b5-1 Trading Arrangement, Dr. Bose had not sold any shares of common stock under the terms thereof.
(2)As of the termination date of his Rule 10b5-1 Trading Arrangement, Mr. Elsesser had not sold any shares of common stock under the terms thereof.
(3)As of the termination date of her Rule 10b5-1 Trading Arrangement, Ms. O’Rourke had not sold any shares of common stock under the terms thereof.
(4)As of the termination date of her Rule 10b5-1 Trading Arrangement, Ms. Roberts had not sold any shares of common stock under the terms thereof.
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