Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| GLAUKOS CorpGKOS · Entity 3510 | Chief Operating Officer | March 24, 2022 | March 29, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
GLAUKOS Corp
Report date March 24, 2022 · Filed March 29, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 181,594 |
Reported balance
After 2022-03-24 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-03-24 · Grant · Acquired 3,886 · Balance 181,594 F1: Represents shares of common stock underlying a portion of an award of restricted stock units previously granted by the Issuer on March 18, 2021, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") determined on March 24, 2022 the level of achievement for the first year of the multi-year performance period. The Reporting Person elected to receive this performance grant in the form of restricted stock units. The number of shares reported herein consists of the portion of the award that was deemed earned based upon the achievement with respect to the first-year performance goal. 50% of the number of shares of common stock reported herein will vest and be delivered on April 6, 2022 and the remaining 50% will vest and be delivered on January 6, 2023. F2: Includes 21,787 restricted stock units that have not yet vested or been delivered to the Reporting Person. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $39.10 · Expires 2030-03-12 | Direct | 11,301 |
Reported balance
After 2022-03-24 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-03-24 · Grant · Acquired 4,917 · Balance 11,301 F3: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 12, 2020, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") determined on March 24, 2022 the level of achievement for the second year of the multi-year performance period. The number of shares of common stock subject to the stock option as reported herein consists of the portion of the award that was earned based upon the achievement with respect to the second-year performance goal. The portion of the option reported herein will vest and become exercisable on April 1, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of common stock underlying a portion of an award of restricted stock units previously granted by the Issuer on March 18, 2021, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") determined on March 24, 2022 the level of achievement for the first year of the multi-year performance period. The Reporting Person elected to receive this performance grant in the form of restricted stock units. The number of shares reported herein consists of the portion of the award that was deemed earned based upon the achievement with respect to the first-year performance goal. 50% of the number of shares of common stock reported herein will vest and be delivered on April 6, 2022 and the remaining 50% will vest and be delivered on January 6, 2023.
F2: Includes 21,787 restricted stock units that have not yet vested or been delivered to the Reporting Person.
F3: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 12, 2020, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") determined on March 24, 2022 the level of achievement for the second year of the multi-year performance period. The number of shares of common stock subject to the stock option as reported herein consists of the portion of the award that was earned based upon the achievement with respect to the second-year performance goal. The portion of the option reported herein will vest and become exercisable on April 1, 2022.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 12, 2017 Filed Jan 13, 2017 22:04 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionStock Options (Right to buy) · Derivative | 14,413 | $0.00 Strike: $7.28 | $0.00 |
DisclosureSEC source: 0001562180-17-000237 · primarydocument.xml · derivative · entry 5 Calcaterra Chris M. · CIK 0001640771 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,723 Underlying: Common Stock · 14,413 shares Expires 2024-07-10 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. F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F4 · derivative.exercise_date: This option, which represented the right to purchase a total of 110,000 shares, has a two-year vesting schedule in which 75% vested on July 10, 2015, the first anniversary of the grant date, and the remainder vested equally for 12 months thereafter, such that the stock option vested in full on July 31, 2016, the second anniversary of the grant date. Read SEC document |
| January 12, 2017 Filed Jan 13, 2017 22:04 UTC | GLAUKOS Corp GKOS · Entity 3510 | SaleCommon Stock | 14,413 | $40.00 | $576,520.00 |
DisclosureSEC source: 0001562180-17-000237 · primarydocument.xml · nonDerivative · entry 2 Calcaterra Chris M. · CIK 0001640771 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,000 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F2 · price: This transaction was executed in multiple trades at prices ranging from $40.00 to $40.03. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| January 12, 2017 Filed Jan 13, 2017 22:04 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionCommon Stock | 14,413 | $7.28 | $104,854.58 |
DisclosureSEC source: 0001562180-17-000237 · primarydocument.xml · nonDerivative · entry 1 Calcaterra Chris M. · CIK 0001640771 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 254,413 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. F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. Read SEC document |
| January 09, 2017 Filed Jan 11, 2017 21:30 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionStock Options (Right to buy) · Derivative | 20,000 | $0.00 Strike: $7.28 | $0.00 |
DisclosureSEC source: 0001562180-17-000222 · primarydocument.xml · derivative · entry 3 Calcaterra Chris M. · CIK 0001640771 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,136 Underlying: Common Stock · 20,000 shares Expires 2024-07-10 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. F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F3 · derivative.exercise_date: This option, which represented the right to purchase a total of 110,000 shares, has a two-year vesting schedule in which 75% vested on July 10, 2015, the first anniversary of the grant date, and the remainder vested equally for 12 months thereafter, such that the stock option vested in full on July 31, 2016, the second anniversary of the grant date. Read SEC document |
| January 09, 2017 Filed Jan 11, 2017 21:30 UTC | GLAUKOS Corp GKOS · Entity 3510 | SaleCommon Stock | 20,000 | $38.02 | $760,400.00 |
DisclosureSEC source: 0001562180-17-000222 · primarydocument.xml · nonDerivative · entry 2 Calcaterra Chris M. · CIK 0001640771 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,000 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F2 · price: This transaction was executed in multiple trades at prices ranging from $38.00 to $38.11. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| January 09, 2017 Filed Jan 11, 2017 21:30 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionCommon Stock | 20,000 | $7.28 | $145,500.00 |
DisclosureSEC source: 0001562180-17-000222 · primarydocument.xml · nonDerivative · entry 1 Calcaterra Chris M. · CIK 0001640771 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 260,000 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. F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. Read SEC document |
| October 24, 2016 Filed Oct 25, 2016 20:55 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionStock Options (Right to buy) · Derivative | 20,000 | $0.00 Strike: $7.28 | $0.00 |
DisclosureSEC source: 0001562180-16-003274 · primarydocument.xml · derivative · entry 3 Calcaterra Chris M. · CIK 0001640771 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,136 Underlying: Common Stock · 20,000 shares Expires 2024-07-10 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. F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F3 · derivative.exercise_date: This option, which represented the right to purchase a total of 110,000 shares, has a two-year vesting schedule in which 75% vested on July 10, 2015, the first anniversary of the grant date, and the remainder vests equally for 12 months thereafter, such that the stock option will vest in full on July 31, 2016, the second anniversary of the grant date. Read SEC document |
| October 24, 2016 Filed Oct 25, 2016 20:55 UTC | GLAUKOS Corp GKOS · Entity 3510 | SaleCommon Stock | 20,000 | $36.01 | $720,200.00 |
DisclosureSEC source: 0001562180-16-003274 · primarydocument.xml · nonDerivative · entry 2 Calcaterra Chris M. · CIK 0001640771 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,000 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F2 · price: This transaction was executed in multiple trades at prices ranging from $36.00 to $36.11. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| October 24, 2016 Filed Oct 25, 2016 20:55 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionCommon Stock | 20,000 | $7.28 | $145,500.00 |
DisclosureSEC source: 0001562180-16-003274 · primarydocument.xml · nonDerivative · entry 1 Calcaterra Chris M. · CIK 0001640771 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 260,000 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. F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. Read SEC document |
| October 20, 2016 Filed Oct 20, 2016 22:37 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionStock Options (Right to buy) · Derivative | 40,000 | $0.00 Strike: $7.28 | $0.00 |
DisclosureSEC source: 0001562180-16-003252 · primarydocument.xml · derivative · entry 4 Calcaterra Chris M. · CIK 0001640771 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,136 Underlying: Common Stock · 40,000 shares Expires 2024-07-10 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. F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F4 · derivative.exercise_date: This option, which represented the right to purchase a total of 110,000 shares, has a two-year vesting schedule in which 75% vested on July 10, 2015, the first anniversary of the grant date, and the remainder vests equally for 12 months thereafter, such that the stock option will vest in full on July 31, 2016, the second anniversary of the grant date. Read SEC document |
| October 20, 2016 Filed Oct 20, 2016 22:37 UTC | GLAUKOS Corp GKOS · Entity 3510 | SaleCommon Stock | 3,000 | $34.20 | $102,600.00 |
DisclosureSEC source: 0001562180-16-003252 · primarydocument.xml · nonDerivative · entry 3 Calcaterra Chris M. · CIK 0001640771 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,000 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F3 · price: This transaction was executed in multiple trades at prices ranging from $34.06 to $34.32. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| October 20, 2016 Filed Oct 20, 2016 22:37 UTC | GLAUKOS Corp GKOS · Entity 3510 | SaleCommon Stock | 37,000 | $34.81 | $1,287,970.00 |
DisclosureSEC source: 0001562180-16-003252 · primarydocument.xml · nonDerivative · entry 2 Calcaterra Chris M. · CIK 0001640771 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,000 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F2 · price: This transaction was executed in multiple trades at prices ranging from $34.33 to $35.32. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| October 20, 2016 Filed Oct 20, 2016 22:37 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionCommon Stock | 40,000 | $7.28 | $291,000.00 |
DisclosureSEC source: 0001562180-16-003252 · primarydocument.xml · nonDerivative · entry 1 Calcaterra Chris M. · CIK 0001640771 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 280,000 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. F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. 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.