What SEC filings does Penumbra, Inc. submit to the SEC?

Penumbra, Inc. (PEN) submits several types of SEC filings including Form 4 (insider transactions), Form 144 (proposed insider sales), 8-K reports (material events such as earnings releases, acquisitions, leadership changes), and periodic reports — the 10-Q (quarterly) and 10-K (annual). All filings are publicly available through SEC EDGAR.

What does a Form 4 filing tell me about PEN?

A Form 4 for PEN discloses a transaction by a company insider — typically a director, officer, or 10%+ shareholder. It shows the source-reported date, number of shares, price, and updated ownership. These facts do not establish motive or predict future returns.

How do I interpret an 8-K filing from Penumbra, Inc.?

An 8-K signals a material event requiring prompt disclosure. Common triggers include earnings pre-announcements, acquisitions, leadership appointments or departures, credit changes, or regulatory actions. Read the item codes inside the filing to understand exactly what was disclosed before drawing conclusions.

What is the difference between a 10-K and 10-Q for PEN?

The 10-K is Penumbra, Inc.'s annual report with fully audited financial statements, comprehensive MD&A, and complete risk factor disclosures — filed 60–90 days after fiscal year-end. The 10-Q is a lighter quarterly report with unaudited financials filed for the first three quarters. Together they provide a continuous financial picture of the company.

Where can I see all PEN SEC filings directly on EDGAR?

You can view all historical Penumbra, Inc. filings on the SEC EDGAR company page for PEN. Each filing card on this page links directly to the original SEC document.

How often does Penumbra, Inc. file with the SEC?

Penumbra, Inc. files one 10-K per year and up to three 10-Qs per year. Form 4 insider transactions must be reported within two business days of each trade, so the frequency depends on how often insiders are buying or selling PEN shares. 8-K filings occur whenever a material event happens — which can be several times per quarter for an active company.

PEN SEC Filing News — Penumbra, Inc.

Latest SEC filings for Penumbra, Inc. (PEN) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-09-17.

Penumbra, Inc., together with its subsidiaries, designs, develops, manufactures, and markets medical devices in the United States and internationally. It offers computer-assisted vacuum thrombectomy; peripheral thrombectomy products, including the Indigo System for power aspiration of thrombus in the body; Lightning Flash, a mechanical thrombectomy system; Lightning Bolt 7, an arterial thrombectomy system; and CAT RX. It also provides access products, including guide catheters and the Penumbra d…

Sector: Healthcare Industry: Medical Devices Market Cap: $12.6B CIK: 1321732

Total Filings

Bullish Classifications

Bearish Classifications

Insider Transactions

Material Events (8-K)

Periodic Reports

Rule-based classifications for PEN currently lean bearish. Of the 20 filing records displayed, 2 carry bearish classifications (such as insider sales or negative 8-K disclosures) versus 0 bullish. This does not necessarily signal fundamental deterioration — insiders sell for many reasons — but it is worth monitoring alongside the company's core financial metrics.

PEN Filing Activity Snapshot 2026-02-18 — 2026-09-17

Insider Transactions (Form 4)

0 buys vs 2 sells

Net insider selling in this period — insiders sell for many reasons beyond conviction.

Largest Form 144 Filing

$832.5K

Yuen Maggie (Chief Financial Officer) · 2026-03-04

2,432 shares · Form 4

Form 144 Notices

Proposed insider sales filed — Form 144 is a notice of intent, not a confirmed transaction. Actual sales are confirmed via Form 4.

Insider Transactions 10 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 10 filings in this group are Form 4s for Penumbra, Inc.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 10 insider filings shown, the breakdown is 5 tax withholding, 2 compensation award, 2 open-market sale and 1 gift. 2 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Tax withholding ×5: Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.
Compensation award ×2: Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.
Open-market sale ×2: The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.
Gift ×1: Shares were transferred as a gift, typically for estate or charitable planning. No sale into the market took place.

Form 4 Tax withholding Tax / Compensation Filing 2026-09-17

PEN insider Form 4 filed for equity award, exercise, or tax withholding

Narayan Shruthi (President) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	1,230	$318.43	$391.7K

Filing: Form 4 (Insider Transaction) Insider: Narayan Shruthi (President) Shares: 1,230

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-08-19

PEN insider Form 4 filed for equity award, exercise, or tax withholding

Narayan Shruthi (President) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	3,060	—	—

Filing: Form 4 (Insider Transaction) Insider: Narayan Shruthi (President) Shares: 3,060

View on SEC EDGAR → Open Filing Document →

Form 4 Gift Tax / Compensation Filing 2026-05-21

PEN insider Form 4 filed for equity award, exercise, or tax withholding

Elsesser Adam (Director, CEO) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were transferred as a gift, typically for estate or charitable planning. No sale into the market took place.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`G`	Gift	77,000	—	—

Filing: Form 4 (Insider Transaction) Insider: Elsesser Adam (Director, CEO) Shares: 77,000

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-04-06

PEN insider Grewal Harpreet (Director) sold 100 shares (~$32.8K)

Grewal Harpreet, listed as Director at Penumbra Inc, reported an open-market sale of 100 PEN shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	100	$328.22	$32.8K

Filing: Form 4 (Insider Transaction) Insider: Grewal Harpreet (Director) Shares: 100 Est. Value: $32.8K

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-03-17

PEN insider Form 4 filed for equity award, exercise, or tax withholding

Narayan Shruthi (President) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	117	$336.18	$39.3K

Filing: Form 4 (Insider Transaction) Insider: Narayan Shruthi (President) Shares: 117

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-03-17

PEN insider Form 4 filed for equity award, exercise, or tax withholding

Roberts Johanna (EVP, Gen. Counsel & Secretary) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	186	$336.18	$62.5K

Filing: Form 4 (Insider Transaction) Insider: Roberts Johanna (EVP, Gen. Counsel & Secretary) Shares: 186

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-03-17

PEN insider Form 4 filed for equity award, exercise, or tax withholding

Yuen Maggie (Chief Financial Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	186	$336.18	$62.5K

Filing: Form 4 (Insider Transaction) Insider: Yuen Maggie (Chief Financial Officer) Shares: 186

View on SEC EDGAR → Open Filing Document →

Form 4 Tax withholding Tax / Compensation Filing 2026-03-17

PEN insider Form 4 filed for equity award, exercise, or tax withholding

Shiu Lambert (Chief Accounting Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`F`	Tax withholding on vested shares	150	$336.18	$50.4K

Filing: Form 4 (Insider Transaction) Insider: Shiu Lambert (Chief Accounting Officer) Shares: 150

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-03-04

PEN insider Yuen Maggie (Chief Financial Officer) sold 2,432 shares (~$832.5K)

Yuen Maggie, listed as Chief Financial Officer at Penumbra Inc, reported an open-market sale of 2,432 PEN shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	2,432	$342.30	$832.5K

Filing: Form 4 (Insider Transaction) Insider: Yuen Maggie (Chief Financial Officer) Shares: 2,432 Est. Value: $832.5K

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-02-18

PEN insider Form 4 filed for equity award, exercise, or tax withholding

Grewal Harpreet (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	589	—	—

Filing: Form 4 (Insider Transaction) Insider: Grewal Harpreet (Director) Shares: 589

View on SEC EDGAR → Open Filing Document →

Proposed Insider Sales 2 · Form 144

A Form 144 is a notice of intent to sell restricted or control securities. It is not a record that anything was sold. Penumbra, Inc. has 2 such notices in this period.

The distinction matters because a Form 144 is frequently reported as though it were a completed insider sale. The filer may sell all of the shares covered, some of them, or none at all, and there is no obligation to update the notice either way. A sale that is actually executed by an officer or director shows up separately on a Form 4, which is the filing to check before treating a proposed sale as a real one.

Form 144 Proposed Insider Sale 2026-04-02

PEN Form 144 filed for proposed insider sale by Grewal Harpreet (100 shares) ~$32.8K

Grewal Harpreet filed a Form 144 with the SEC indicating intent to sell PEN (Penumbra Inc) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: Grewal Harpreet Shares: 100 Est. Value: $32.8K

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-03-02

PEN Form 144 filed for proposed insider sale by MAGGIE YUEN (2,432 shares) ~$832.5K

MAGGIE YUEN filed a Form 144 with the SEC indicating intent to sell PEN (Penumbra Inc) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: MAGGIE YUEN Shares: 2,432 Est. Value: $832.5K

View on SEC EDGAR → Open Filing Document →

Material Events 5 · Form 8-K

An 8-K reports a material event in the window between scheduled reports. There are 5 in this period for Penumbra, Inc. Each 8-K names the item number it is filed under, and that number is the fastest way to tell a routine disclosure from a consequential one.

Item 2.02 is an earnings release, Item 5.02 is a change of directors or officers, and Item 1.01 or 2.01 covers a material agreement or a completed acquisition. Item 7.01 and Item 8.01 are the general-purpose disclosure items and carry no fixed meaning on their own.

Form 8-K Material Company Update 2026-07-30

PEN filed 8-K — material company event

Penumbra Inc filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-06-22

PEN filed 8-K — material company event

Penumbra Inc filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-05-07

PEN filed 8-K — material company event

Penumbra Inc filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-05-06

PEN filed 8-K — material company event

Penumbra Inc filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-02-25

PEN filed 8-K — material company event

Penumbra Inc filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Periodic Reports 3 · Forms 10-K and 10-Q

The periodic reports are where the audited and reviewed financial statements live. This period contains 1 annual report (10-K) and 2 quarterly reports (10-Q) for Penumbra, Inc.

The two are not equivalent in weight. A 10-K is audited by an external firm and includes the full risk factor disclosure, business description and management discussion; a 10-Q is unaudited, reviewed rather than examined, and much shorter. When a figure in a quarterly report is later revised, the annual report is usually where the correction appears.

An amended report — 10-K/A or 10-Q/A — restates or corrects something in the original filing, and is worth reading against the version it replaces.

Form 10-Q Quarterly Report 2026-07-30

PEN filed Quarterly Report (10-Q)

Penumbra Inc filed its quarterly report with the SEC. This report includes unaudited financial statements and management discussion for the quarter.

Filing: 10-Q (Quarterly Report)

View on SEC EDGAR → Open Filing Document →

Form 10-Q Quarterly Report 2026-05-06

PEN filed Quarterly Report (10-Q)

Penumbra Inc filed its quarterly report with the SEC. This report includes unaudited financial statements and management discussion for the quarter.

Filing: 10-Q (Quarterly Report)

View on SEC EDGAR → Open Filing Document →

Form 10-K Annual Report 2026-02-25

PEN filed Annual Report (10-K)

Penumbra Inc filed its annual report with the SEC. This report includes audited financial statements, business overview, risk factors, and management discussion.

Filing: 10-K (Annual Report)

View on SEC EDGAR → Open Filing Document →

How we classify Penumbra, Inc.'s filings

Straight from EDGAR

Each displayed record links to an original source document. StrongBuyAnalytics provides navigation and brief excerpts or summaries, not the filing itself. Parsing may omit context or contain errors, so read the original document in full.

Transaction codes, not guesswork

The nature shown on each insider filing comes from the transaction code the filer entered on the form itself — P for an open-market purchase, A for a compensation award, F for shares withheld to pay tax, M for an option exercise. Where one filing contains several codes, the transaction table lists them line by line.

Why the distinction matters

Insider activity is routinely summarised as buying or selling, which flattens together decisions that mean very different things. Shares withheld for tax on a vesting grant are an automatic administrative step; shares bought on the open market are someone committing their own money at the current price.

What this page does not tell you

A filing records what happened, not why. Form 4 does not always disclose whether a sale was executed under a pre-arranged Rule 10b5-1 plan, and no single filing is a basis for a decision on PEN. Read these alongside the fundamentals rather than in isolation.

Frequently Asked Questions — PEN SEC Filings

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PEN Full Analysis

Publisher, sources & limitations — September 15, 2026. StrongBuyAnalytics provides navigation and brief excerpts or summaries for educational use. Original filings remain at SEC EDGAR or other displayed source links; StrongBuyAnalytics does not author them. Filing dates are source dates, not publication dates for this page. Coverage can be delayed, incomplete, amended, or unavailable because of SEC/source availability, parsing, caching, or outages. Verify every material statement in the original filing.

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