Filing Details
- Accession Number:
- 0001415889-24-022146
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-08-23 17:25:54
- Reporting Period:
- 2024-08-21
- Accepted Time:
- 2024-08-23 17:25:54
- 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 |
|---|---|---|---|---|---|---|---|
| 1705850 | E Joseph Gilliam | C/O Glaukos Corporation One Glaukos Way Aliso Viejo CA 92656 | President & Coo | 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 | 2024-08-21 | 2,500 | $55.18 | 104,669 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2024-08-21 | 2,500 | $55.18 | 107,169 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2024-08-21 | 4,420 | $129.27 | 102,749 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2024-08-21 | 580 | $130.03 | 102,169 | 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 | 2024-08-21 | 2,500 | $0.00 | 2,500 | $55.18 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2024-08-21 | 2,500 | $0.00 | 2,500 | $55.18 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 35,739 | 2032-03-24 | No | 4 | M | Direct | |
| 22,442 | 2032-03-24 | No | 4 | M | Direct |
Footnotes
- Includes 76,419 restricted stock units that have not yet vested or been delivered to the Reporting Person, and includes 324 shares of common stock of the Issuer that were purchased by the Reporting Person through the Issuer's Employee Stock Purchase Plan.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 4, 2024.
- This transaction was executed in multiple trades at prices ranging from $129.01 to $130.01. 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 $130.02 to $130.07. 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 effectuated pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 4, 2024.
- Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 24, 2022, the vesting of which was subject to the Issuer's achievement of certain pre-determined operational targets over a multi-year performance period.
- Represents a portion of an option to purchase shares of common stock previously granted by the Issuer to the Reporting Person on March 24, 2022 inconnection with his promotion to President and Chief Operating Officer, the vesting of which was subject to the Issuer's achievement of certain multi-yearperformance goals.
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