Filing Details
- Accession Number:
- 0001415889-23-010895
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-07-06 17:01:11
- Reporting Period:
- 2023-07-03
- Accepted Time:
- 2023-07-06 17:01:11
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1192448 | Glaukos Corp | GKOS | Surgical & Medical Instruments & Apparatus (3841) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1644557 | William Thomas Burns | C/O Glaukos Corporation One Glaukos Way Aliso Viejo CA 92656 | Chairman & Ceo | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2023-07-03 | 26,400 | $7.28 | 700,363 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-07-03 | 22,570 | $69.38 | 677,793 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-07-03 | 3,830 | $70.27 | 673,963 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-07-05 | 5,027 | $7.28 | 678,990 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-07-05 | 5,027 | $70.02 | 673,963 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-07-03 | 26,400 | $0.00 | 26,400 | $7.28 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-07-05 | 5,027 | $0.00 | 5,027 | $7.28 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 418,600 | 2024-07-10 | No | 4 | M | Direct | |
| 413,573 | 2024-07-10 | No | 4 | M | Direct |
Footnotes
- Includes 55,926 restricted stock units that have not yet vested or been delivered to the Reporting Person.
- This trade was made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices, with respect to stock options that expire in 2024.
- This transaction was executed in multiple trades at prices ranging from $68.865 to $69.86. 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.
- This transaction was executed in multiple trades at prices ranging from $69.865 to $70.835. 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.
- This transaction was executed in multiple trades at prices ranging from $70.00 to $70.08. 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.
- This option was granted on July 10, 2014 and had a four-year vesting schedule in which 25% vested on the first anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vested in full on the four-year anniversary of the grant date.
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