Tapewire

Nasdaq · USD

STAA

STAAR SURGICAL CO

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Tapewire entity
4851
SEC CIK
0000718937
Parsed reports
347

Last 12 months

Inside the activity.

22 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202560
Dec 202500
Jan 2026100
Feb 202600
Mar 202660
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 16, 2021 Filed Jun 21, 2021 12:28 UTC SaleCommon Stock 30,543 $148.79 $4,544,492.97
Disclosure

SEC source: 0000919574-21-004135 · ownership.xml · nonDerivative · entry 1

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,969,814

F2 · price: This constitutes the weighted average sale price. The prices range from $148.01 to $150.37. The Reporting Persons will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 00:59 UTC SaleCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0000919574-21-004102 · ownership.xml · nonDerivative · entry 6

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 9,000,357

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 00:59 UTC SaleCommon Stock 35,380 $147.46 $5,217,134.80
Disclosure

SEC source: 0000919574-21-004102 · ownership.xml · nonDerivative · entry 5

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000,357

F4 · price: This constitutes the weighted average sale price. The prices range from $147.02 to $148.51. The Reporting Persons will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 14, 2021 Filed Jun 16, 2021 00:59 UTC SaleCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0000919574-21-004102 · ownership.xml · nonDerivative · entry 4

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 9,035,737

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 14, 2021 Filed Jun 16, 2021 00:59 UTC SaleCommon Stock 21,895 $147.79 $3,235,862.05
Disclosure

SEC source: 0000919574-21-004102 · ownership.xml · nonDerivative · entry 3

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,035,737

F3 · price: This constitutes the weighted average sale price. The prices range from $147.01 to $149.88. The Reporting Persons will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 11, 2021 Filed Jun 16, 2021 00:59 UTC SaleCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0000919574-21-004102 · ownership.xml · nonDerivative · entry 2

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 9,057,632

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 11, 2021 Filed Jun 16, 2021 00:59 UTC SaleCommon Stock 2,275 $147.05 $334,538.75
Disclosure

SEC source: 0000919574-21-004102 · ownership.xml · nonDerivative · entry 1

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,057,632

F2 · price: This constitutes the weighted average sale price. The prices range from $147.01 to $147.27. The Reporting Persons will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 01, 2021 Filed Jun 1, 2021 23:21 UTC SaleCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0000919574-21-003885 · ownership.xml · nonDerivative · entry 6

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 9,059,907

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 01, 2021 Filed Jun 1, 2021 23:21 UTC SaleCommon Stock 1,014 $146.36 $148,409.04
Disclosure

SEC source: 0000919574-21-003885 · ownership.xml · nonDerivative · entry 5

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,059,907

F4 · price: This constitutes the weighted average sale price. The prices range from $146.02 to $146.95. The Reporting Persons will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
May 28, 2021 Filed May 28, 2021 20:31 UTC Exercise / conversionCommon Stock Options · Derivative 5,000 $0.00 Strike: $5.54 $0.00
Disclosure

SEC source: 0001209191-21-036545 · doc4.xml · derivative · entry 6

FARRELL STEPHEN C · CIK 0001188757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 5,000 shares

Expires 2026-06-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 28, 2021 Filed May 28, 2021 20:31 UTC Disposition to issuerCommon Stock 5,000 $150.00 $750,000.00
Disclosure

SEC source: 0001209191-21-036545 · doc4.xml · nonDerivative · entry 4

FARRELL STEPHEN C · CIK 0001188757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,808

Read SEC document
May 28, 2021 Filed May 28, 2021 20:31 UTC Exercise / conversionCommon Stock 5,000 $5.54 $27,700.00
Disclosure

SEC source: 0001209191-21-036545 · doc4.xml · nonDerivative · entry 3

FARRELL STEPHEN C · CIK 0001188757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,808

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 28, 2021 Filed Jun 1, 2021 23:21 UTC SaleCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0000919574-21-003885 · ownership.xml · nonDerivative · entry 4

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 9,060,921

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
May 28, 2021 Filed Jun 1, 2021 23:21 UTC SaleCommon Stock 217,693 $147.43 $32,094,478.99
Disclosure

SEC source: 0000919574-21-003885 · ownership.xml · nonDerivative · entry 3

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,060,921

F3 · price: This constitutes the weighted average sale price. The prices range from $144.05 to $149.99. The Reporting Persons will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
May 27, 2021 Filed Jun 1, 2021 23:21 UTC SaleCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0000919574-21-003885 · ownership.xml · nonDerivative · entry 2

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 9,278,614

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
May 27, 2021 Filed Jun 1, 2021 23:21 UTC SaleCommon Stock 47,571 $143.42 $6,822,632.82
Disclosure

SEC source: 0000919574-21-003885 · ownership.xml · nonDerivative · entry 1

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,278,614

F2 · price: This constitutes the weighted average sale price. The prices range from $141.93 to $145.39. The Reporting Persons will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
May 26, 2021 Filed May 28, 2021 20:31 UTC Exercise / conversionCommon Stock Options · Derivative 5,000 $0.00 Strike: $7.14 $0.00
Disclosure

SEC source: 0001209191-21-036545 · doc4.xml · derivative · entry 5

FARRELL STEPHEN C · CIK 0001188757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2026-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 26, 2021 Filed May 28, 2021 20:31 UTC Disposition to issuerCommon Stock 5,000 $135.00 $675,000.00
Disclosure

SEC source: 0001209191-21-036545 · doc4.xml · nonDerivative · entry 2

FARRELL STEPHEN C · CIK 0001188757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,808

Read SEC document
May 26, 2021 Filed May 28, 2021 20:31 UTC Exercise / conversionCommon Stock 5,000 $7.14 $35,700.00
Disclosure

SEC source: 0001209191-21-036545 · doc4.xml · nonDerivative · entry 1

FARRELL STEPHEN C · CIK 0001188757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,808

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 24, 2021 Filed May 25, 2021 20:11 UTC
Francese James ESr. VP, Comm. Ops., NA, APAC
Exercise / conversionCommon Stock Options · Derivative 14,500 $0.00 Strike: $16.15 $0.00
Disclosure

SEC source: 0001209191-21-035693 · doc4.xml · derivative · entry 6

Francese James E · CIK 0001571478 · Sr. VP, Comm. Ops., NA, APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,500

Underlying: Common Stock · 14,500 shares

Expires 2028-03-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 24, 2021 Filed May 25, 2021 20:11 UTC
Francese James ESr. VP, Comm. Ops., NA, APAC
SaleCommon Stock 14,500 $130.42 $1,891,090.00
Disclosure

SEC source: 0001209191-21-035693 · doc4.xml · nonDerivative · entry 4

Francese James E · CIK 0001571478 · Sr. VP, Comm. Ops., NA, APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,630

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $129.58 to $131.22, inclusive.

Read SEC document
May 24, 2021 Filed May 25, 2021 20:11 UTC
Francese James ESr. VP, Comm. Ops., NA, APAC
Exercise / conversionCommon Stock 14,500 $16.15 $234,175.00
Disclosure

SEC source: 0001209191-21-035693 · doc4.xml · nonDerivative · entry 3

Francese James E · CIK 0001571478 · Sr. VP, Comm. Ops., NA, APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,130

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 24, 2021 Filed May 25, 2021 20:10 UTC
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
Exercise / conversionCommon Stock Options · Derivative 6,556 $0.00 Strike: $16.15 $0.00
Disclosure

SEC source: 0001209191-21-035690 · doc4.xml · derivative · entry 14

Blickensdoerfer Hans-Martin · CIK 0001488891 · Sr. VP, Comm. Ops, China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,444

Underlying: Common Stock · 6,556 shares

Expires 2028-03-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 24, 2021 Filed May 25, 2021 20:10 UTC
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
Exercise / conversionCommon Stock Options · Derivative 22,500 $0.00 Strike: $9.30 $0.00
Disclosure

SEC source: 0001209191-21-035690 · doc4.xml · derivative · entry 13

Blickensdoerfer Hans-Martin · CIK 0001488891 · Sr. VP, Comm. Ops, China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,500 shares

Expires 2027-03-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 24, 2021 Filed May 25, 2021 20:10 UTC
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
Exercise / conversionCommon Stock Options · Derivative 40,000 $0.00 Strike: $7.52 $0.00
Disclosure

SEC source: 0001209191-21-035690 · doc4.xml · derivative · entry 12

Blickensdoerfer Hans-Martin · CIK 0001488891 · Sr. VP, Comm. Ops, China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,000 shares

Expires 2028-03-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 24, 2021 Filed May 25, 2021 20:10 UTC
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
Exercise / conversionCommon Stock Options · Derivative 25,799 $0.00 Strike: $7.35 $0.00
Disclosure

SEC source: 0001209191-21-035690 · doc4.xml · derivative · entry 11

Blickensdoerfer Hans-Martin · CIK 0001488891 · Sr. VP, Comm. Ops, China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,799 shares

Expires 2025-04-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 24, 2021 Filed May 25, 2021 20:10 UTC
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
SaleCommon Stock 94,855 $130.42 $12,370,989.10
Disclosure

SEC source: 0001209191-21-035690 · doc4.xml · nonDerivative · entry 8

Blickensdoerfer Hans-Martin · CIK 0001488891 · Sr. VP, Comm. Ops, China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,381

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.00 to $131.59, inclusive.

Read SEC document
May 24, 2021 Filed May 25, 2021 20:10 UTC
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
Exercise / conversionCommon Stock 6,556 $16.15 $105,879.40
Disclosure

SEC source: 0001209191-21-035690 · doc4.xml · nonDerivative · entry 7

Blickensdoerfer Hans-Martin · CIK 0001488891 · Sr. VP, Comm. Ops, China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,236

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 24, 2021 Filed May 25, 2021 20:10 UTC
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
Exercise / conversionCommon Stock 22,500 $9.30 $209,250.00
Disclosure

SEC source: 0001209191-21-035690 · doc4.xml · nonDerivative · entry 6

Blickensdoerfer Hans-Martin · CIK 0001488891 · Sr. VP, Comm. Ops, China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 196,680

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 24, 2021 Filed May 25, 2021 20:10 UTC
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
Exercise / conversionCommon Stock 40,000 $7.52 $300,800.00
Disclosure

SEC source: 0001209191-21-035690 · doc4.xml · nonDerivative · entry 5

Blickensdoerfer Hans-Martin · CIK 0001488891 · Sr. VP, Comm. Ops, China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,180

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 24, 2021 Filed May 25, 2021 20:10 UTC
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
Exercise / conversionCommon Stock 25,799 $7.35 $189,622.65
Disclosure

SEC source: 0001209191-21-035690 · doc4.xml · nonDerivative · entry 4

Blickensdoerfer Hans-Martin · CIK 0001488891 · Sr. VP, Comm. Ops, China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,180

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 21, 2021 Filed May 21, 2021 20:05 UTC
Barnes Scott DChief Medical Officer
Exercise / conversionCommon Stock Options · Derivative 7,566 $0.00 Strike: $27.53 $0.00
Disclosure

SEC source: 0001209191-21-034877 · doc4.xml · derivative · entry 7

Barnes Scott D · CIK 0001781830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,891

Underlying: Common Stock · 7,566 shares

Expires 2030-03-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The options granted become exercisable as follows: 1/3 on 3/20/2021 and the remaining 2/3 of such options shall become exercisable over the following 24 months in equal amounts on a monthly basis. In the event the options do not evenly divide into 24 months, the remaining balance of options granted shall become exercisable on 3/20/2023.

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May 21, 2021 Filed May 21, 2021 20:05 UTC
Barnes Scott DChief Medical Officer
Exercise / conversionCommon Stock Options · Derivative 2,229 $0.00 Strike: $35.98 $0.00
Disclosure

SEC source: 0001209191-21-034877 · doc4.xml · derivative · entry 6

Barnes Scott D · CIK 0001781830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,157

Underlying: Common Stock · 2,229 shares

Expires 2029-03-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The options granted become exercisable as follows: 1/3 on 3/14/2020 and the remaining 2/3 of such options shall become exercisable over the following 24 months in equal amounts on a monthly basis. In the event the options do not evenly divide into 24 months, the remaining balance of options granted shall become exercisable on 3/14/2022.

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May 21, 2021 Filed May 21, 2021 20:05 UTC
Barnes Scott DChief Medical Officer
Exercise / conversionCommon Stock Options · Derivative 2,500 $0.00 Strike: $16.15 $0.00
Disclosure

SEC source: 0001209191-21-034877 · doc4.xml · derivative · entry 5

Barnes Scott D · CIK 0001781830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,200

Underlying: Common Stock · 2,500 shares

Expires 2028-03-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 21, 2021 Filed May 21, 2021 20:05 UTC
Barnes Scott DChief Medical Officer
Disposition to issuerCommon Stock 12,295 $126.05 $1,549,784.75
Disclosure

SEC source: 0001209191-21-034877 · doc4.xml · nonDerivative · entry 4

Barnes Scott D · CIK 0001781830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,326

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $126.00 to $126.36, inclusive.

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May 21, 2021 Filed May 21, 2021 20:05 UTC
Barnes Scott DChief Medical Officer
Exercise / conversionCommon Stock 7,566 $27.53 $208,291.98
Disclosure

SEC source: 0001209191-21-034877 · doc4.xml · nonDerivative · entry 3

Barnes Scott D · CIK 0001781830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,621

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 21, 2021 Filed May 21, 2021 20:05 UTC
Barnes Scott DChief Medical Officer
Exercise / conversionCommon Stock 2,229 $35.98 $80,199.42
Disclosure

SEC source: 0001209191-21-034877 · doc4.xml · nonDerivative · entry 2

Barnes Scott D · CIK 0001781830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,055

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 21, 2021 Filed May 21, 2021 20:05 UTC
Barnes Scott DChief Medical Officer
Exercise / conversionCommon Stock 2,500 $16.15 $40,375.00
Disclosure

SEC source: 0001209191-21-034877 · doc4.xml · nonDerivative · entry 1

Barnes Scott D · CIK 0001781830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,826

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 21, 2021 Filed May 25, 2021 20:11 UTC
Francese James ESr. VP, Comm. Ops., NA, APAC
Exercise / conversionCommon Stock Options · Derivative 15,261 $0.00 Strike: $9.30 $0.00
Disclosure

SEC source: 0001209191-21-035693 · doc4.xml · derivative · entry 5

Francese James E · CIK 0001571478 · Sr. VP, Comm. Ops., NA, APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,739

Underlying: Common Stock · 15,261 shares

Expires 2027-03-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 21, 2021 Filed May 25, 2021 20:11 UTC
Francese James ESr. VP, Comm. Ops., NA, APAC
SaleCommon Stock 15,261 $126.83 $1,935,552.63
Disclosure

SEC source: 0001209191-21-035693 · doc4.xml · nonDerivative · entry 2

Francese James E · CIK 0001571478 · Sr. VP, Comm. Ops., NA, APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,630

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $126.51 to $127.44, inclusive.

Read SEC document
May 21, 2021 Filed May 25, 2021 20:11 UTC
Francese James ESr. VP, Comm. Ops., NA, APAC
Exercise / conversionCommon Stock 15,261 $9.30 $141,927.30
Disclosure

SEC source: 0001209191-21-035693 · doc4.xml · nonDerivative · entry 1

Francese James E · CIK 0001571478 · Sr. VP, Comm. Ops., NA, APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,891

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 21, 2021 Filed May 25, 2021 20:10 UTC
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
Exercise / conversionCommon Stock Options · Derivative 4,201 $0.00 Strike: $7.35 $0.00
Disclosure

SEC source: 0001209191-21-035690 · doc4.xml · derivative · entry 10

Blickensdoerfer Hans-Martin · CIK 0001488891 · Sr. VP, Comm. Ops, China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,799

Underlying: Common Stock · 4,201 shares

Expires 2025-04-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 21, 2021 Filed May 25, 2021 20:10 UTC
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
Exercise / conversionCommon Stock Options · Derivative 944 $0.00 Strike: $15.54 $0.00
Disclosure

SEC source: 0001209191-21-035690 · doc4.xml · derivative · entry 9

Blickensdoerfer Hans-Martin · CIK 0001488891 · Sr. VP, Comm. Ops, China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 944 shares

Expires 2024-03-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 21, 2021 Filed May 25, 2021 20:10 UTC
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
SaleCommon Stock 5,145 $128.00 $658,560.00
Disclosure

SEC source: 0001209191-21-035690 · doc4.xml · nonDerivative · entry 3

Blickensdoerfer Hans-Martin · CIK 0001488891 · Sr. VP, Comm. Ops, China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,381

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $128.00 to $128.01, inclusive.

Read SEC document
May 21, 2021 Filed May 25, 2021 20:10 UTC
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
Exercise / conversionCommon Stock 4,201 $7.35 $30,877.35
Disclosure

SEC source: 0001209191-21-035690 · doc4.xml · nonDerivative · entry 2

Blickensdoerfer Hans-Martin · CIK 0001488891 · Sr. VP, Comm. Ops, China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,526

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 21, 2021 Filed May 25, 2021 20:10 UTC
Blickensdoerfer Hans-MartinSr. VP, Comm. Ops, China
Exercise / conversionCommon Stock 944 $15.54 $14,669.76
Disclosure

SEC source: 0001209191-21-035690 · doc4.xml · nonDerivative · entry 1

Blickensdoerfer Hans-Martin · CIK 0001488891 · Sr. VP, Comm. Ops, China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,325

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 19, 2021 Filed May 21, 2021 20:06 UTC Exercise / conversionCommon Stock Options · Derivative 5,000 $0.00 Strike: $5.54 $0.00
Disclosure

SEC source: 0001209191-21-034878 · doc4.xml · derivative · entry 3

FARRELL STEPHEN C · CIK 0001188757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 5,000 shares

Expires 2026-06-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 19, 2021 Filed May 21, 2021 20:06 UTC Disposition to issuerCommon Stock 5,000 $120.00 $600,000.00
Disclosure

SEC source: 0001209191-21-034878 · doc4.xml · nonDerivative · entry 2

FARRELL STEPHEN C · CIK 0001188757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,808

Read SEC document
May 19, 2021 Filed May 21, 2021 20:06 UTC Exercise / conversionCommon Stock 5,000 $5.54 $27,700.00
Disclosure

SEC source: 0001209191-21-034878 · doc4.xml · nonDerivative · entry 1

FARRELL STEPHEN C · CIK 0001188757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,808

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 17, 2021 Filed May 18, 2021 20:47 UTC Exercise / conversionCommon Stock Options · Derivative 5,328 $0.00 Strike: $7.14 $0.00
Disclosure

SEC source: 0001209191-21-033541 · doc4.xml · derivative · entry 3

FARRELL STEPHEN C · CIK 0001188757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,328 shares

Expires 2025-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.