Filing Details
- Accession Number:
- 0001415889-23-016668
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-12-18 20:40:48
- Reporting Period:
- 2023-12-14
- Accepted Time:
- 2023-12-18 20:40:48
- 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 |
|---|---|---|---|---|---|---|---|
| 1539796 | Marc Stapley | C/O Glaukos Corporation One Glaukos Way Aliso Viejo CA 92656 | 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 | 2023-12-14 | 10,000 | $7.28 | 41,316 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-12-14 | 6,250 | $32.00 | 47,566 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-12-14 | 9,206 | $75.61 | 38,360 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-12-14 | 7,044 | $76.35 | 31,316 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2023-12-14 | 10,000 | $0.00 | 10,000 | $7.28 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-12-14 | 6,250 | $0.00 | 6,250 | $32.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2024-07-10 | No | 4 | M | Direct | |
| 18,750 | 2025-07-23 | No | 4 | M | Direct |
Footnotes
- Includes 10,454 restricted stock units that have not yet vested or not yet been delivered to the Reporting Person.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2023.
- This transaction was executed in multiple trades at prices ranging from $75.00 to $75.99. 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 $76.00 to $76.88. 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.
- The option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2023.
- This option was granted on July 10, 2014 and has a three-year vesting schedule in which one-third vests on each of the first three anniversaries of the grant date, such that the stock option vests in full on the three-year anniversary of the grantdate.
- This option was granted on July 23, 2015 and has a three-year vesting schedule in which one-third vests on each of the first three anniversaries of the grant date, such that the stock option vests in full on the three-year anniversary of the grant date.
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