Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| GLAUKOS CorpGKOS · Entity 3510 | CFO & Treasurer | January 12, 2017 | January 13, 2017 |
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 January 12, 2017 · Filed January 13, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,388 |
Ending reported balance
After 2017-01-13 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2017-01-12 · Exercise / conversion · Acquired 14,321 · Balance 15,709 F1: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. Row 2 · 2017-01-12 · Sale · Disposed 14,321 · Balance 1,388 F1: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F2: 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. Row 3 · 2017-01-13 · Exercise / conversion · Acquired 6,313 · Balance 7,701 F1: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. Row 4 · 2017-01-13 · Sale · Disposed 6,313 · Balance 1,388 F1: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F3: This transaction was executed in multiple trades at prices ranging from $40.00 to $40.15. 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.28 · Expires 2024-07-10 | Direct | 26,813 |
Reported balance
After 2017-01-12 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2017-01-12 · Exercise / conversion · Disposed 14,321 · Balance 26,813 F4: This option has a four-year vesting schedule in which 25% vests on the first year anniversary date of the grant and the remainder vests equally for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.28 · Expires 2024-07-10 | Direct | 20,500 |
Reported balance
After 2017-01-13 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2017-01-13 · Exercise / conversion · Disposed 6,313 · Balance 20,500 F4: This option has a four-year vesting schedule in which 25% vests on the first year anniversary date of the grant and the remainder vests equally for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date. |
| Common StockSEC Table I · non-derivative | IndirectThrough the Harrison Family Trust | 206,000 |
Reported balance
Holding disclosure · report date 2017-01-12 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 206,000 |
Filing footnotes · ownership attribution and instrument terms
F1: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.
F2: 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.
F3: This transaction was executed in multiple trades at prices ranging from $40.00 to $40.15. 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.
F4: This option has a four-year vesting schedule in which 25% vests on the first year anniversary date of the grant and the remainder vests equally for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.
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 13, 2017 Filed Jan 13, 2017 17:04 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionStock Option (right to buy) · Derivative | 6,313 | $0.00 Strike: $7.28 | $0.00 |
DisclosureSEC source: 0001562180-17-000238 · primarydocument.xml · derivative · entry 7 HARRISON RICHARD L · CIK 0001186724 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,500 Underlying: Common Stock · 6,313 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. F4 · derivative.exercise_date: This option has a four-year vesting schedule in which 25% vests on the first year anniversary date of the grant and the remainder vests equally for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date. Read SEC document |
| January 13, 2017 Filed Jan 13, 2017 17:04 UTC | GLAUKOS Corp GKOS · Entity 3510 | SaleCommon Stock | 6,313 | $40.01 | $252,583.13 |
DisclosureSEC source: 0001562180-17-000238 · primarydocument.xml · nonDerivative · entry 4 HARRISON RICHARD L · CIK 0001186724 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,388 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 $40.00 to $40.15. 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 13, 2017 Filed Jan 13, 2017 17:04 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionCommon Stock | 6,313 | $7.28 | $45,927.08 |
DisclosureSEC source: 0001562180-17-000238 · primarydocument.xml · nonDerivative · entry 3 HARRISON RICHARD L · CIK 0001186724 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,701 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 12, 2017 Filed Jan 13, 2017 17:04 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionStock Option (right to buy) · Derivative | 14,321 | $0.00 Strike: $7.28 | $0.00 |
DisclosureSEC source: 0001562180-17-000238 · primarydocument.xml · derivative · entry 6 HARRISON RICHARD L · CIK 0001186724 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,813 Underlying: Common Stock · 14,321 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. F4 · derivative.exercise_date: This option has a four-year vesting schedule in which 25% vests on the first year anniversary date of the grant and the remainder vests equally for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date. Read SEC document |
| January 12, 2017 Filed Jan 13, 2017 17:04 UTC | GLAUKOS Corp GKOS · Entity 3510 | SaleCommon Stock | 14,321 | $40.00 | $572,840.00 |
DisclosureSEC source: 0001562180-17-000238 · primarydocument.xml · nonDerivative · entry 2 HARRISON RICHARD L · CIK 0001186724 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,388 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 17:04 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionCommon Stock | 14,321 | $7.28 | $104,185.28 |
DisclosureSEC source: 0001562180-17-000238 · primarydocument.xml · nonDerivative · entry 1 HARRISON RICHARD L · CIK 0001186724 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,709 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 06, 2017 Filed Jan 9, 2017 16:00 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionStock Option (right to buy) · Derivative | 2,866 | $0.00 Strike: $7.28 | $0.00 |
DisclosureSEC source: 0001562180-17-000206 · primarydocument.xml · derivative · entry 9 HARRISON RICHARD L · CIK 0001186724 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,134 Underlying: Common Stock · 2,866 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. F4 · derivative.exercise_date: This option has a four-year vesting schedule in which 25% vests on the first year anniversary date of the grant and the remainder vests equally for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date. Read SEC document |
| January 06, 2017 Filed Jan 9, 2017 16:00 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionStock Option (right to buy) · Derivative | 16,500 | $0.00 Strike: $4.23 | $0.00 |
DisclosureSEC source: 0001562180-17-000206 · primarydocument.xml · derivative · entry 8 HARRISON RICHARD L · CIK 0001186724 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 Underlying: Common Stock · 16,500 shares Expires 2023-01-29 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. F4 · derivative.exercise_date: This option has a four-year vesting schedule in which 25% vests on the first year anniversary date of the grant and the remainder vests equally for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date. Read SEC document |
| January 06, 2017 Filed Jan 9, 2017 16:00 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionStock Options (Right to buy) · Derivative | 1,268 | $0.00 Strike: $3.98 | $0.00 |
DisclosureSEC source: 0001562180-17-000206 · primarydocument.xml · derivative · entry 7 HARRISON RICHARD L · CIK 0001186724 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,268 shares Expires 2021-01-27 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 has a four-year vesting schedule in which 25% vests on the first year anniversary date of the grant and the remainder vests equally for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date. Read SEC document |
| January 06, 2017 Filed Jan 9, 2017 16:00 UTC | GLAUKOS Corp GKOS · Entity 3510 | SaleCommon Stock | 60 | $36.01 | $2,160.60 |
DisclosureSEC source: 0001562180-17-000206 · primarydocument.xml · nonDerivative · entry 5 HARRISON RICHARD L · CIK 0001186724 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,388 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 $36.00 to $36.06. 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 06, 2017 Filed Jan 9, 2017 16:00 UTC | GLAUKOS Corp GKOS · Entity 3510 | SaleCommon Stock | 20,574 | $35.58 | $731,981.77 |
DisclosureSEC source: 0001562180-17-000206 · primarydocument.xml · nonDerivative · entry 4 HARRISON RICHARD L · CIK 0001186724 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,448 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 $35.00 to $35.98. 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 06, 2017 Filed Jan 9, 2017 16:00 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionCommon Stock | 2,866 | $7.28 | $20,850.15 |
DisclosureSEC source: 0001562180-17-000206 · primarydocument.xml · nonDerivative · entry 3 HARRISON RICHARD L · CIK 0001186724 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,022 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 06, 2017 Filed Jan 9, 2017 16:00 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionCommon Stock | 16,500 | $4.23 | $69,712.50 |
DisclosureSEC source: 0001562180-17-000206 · primarydocument.xml · nonDerivative · entry 2 HARRISON RICHARD L · CIK 0001186724 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,156 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 06, 2017 Filed Jan 9, 2017 16:00 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionCommon Stock | 1,268 | $3.98 | $5,040.30 |
DisclosureSEC source: 0001562180-17-000206 · primarydocument.xml · nonDerivative · entry 1 HARRISON RICHARD L · CIK 0001186724 · CFO & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,656 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.