08/19/2026 | Press release | Distributed by Public on 08/19/2026 17:23
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Narayan Shruthi ONE PENUMBRA PLACE ALAMEDA, CA 94502 |
President | |||
| /s/ Johanna Roberts, as attorney-in-fact for Shruthi Narayan | 08/19/2026 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | On August 17, 2026, the Reporting Person was granted 3,060 restricted stock units ("RSUs") under the Issuer's Amended and Restated 2014 Equity Incentive Plan, of which 1/4 of the RSUs (each, an "Equity Grant Tranche") will vest equally on an annual basis, beginning on August 15, 2027, subject to continued service by the Reporting Person on the applicable vesting date. Notwithstanding the foregoing, if the Closing (as defined in that certain Agreement and Plan of Merger, dated as of January 14, 2026, among the Issuer, Boston Scientific Corporation and Pinehurst Merger Sub, Inc.) occurs, the RSUs will vest as follows: the first two Equity Grant Tranches (to the extent not already vested) shall vest on the Closing, and the last two Equity Grant Tranches (to the extent not already vested) shall vest on the first and second anniversaries of the Closing, respectively, subject to continued service by the Reporting Person on the applicable vesting date. |
| (2) | A portion of these shares is subject to vesting. |
| (3) | Includes 65 shares purchased by the Reporting Person under the Issuer's Employee Stock Purchase Plan on May 19, 2026. |