AI assistant
GLAUKOS Corp — Director's Dealing 2021
Aug 9, 2021
31074_dirs_2021-08-09_6e85cf3e-9bcb-47f8-9a1c-ef44677d9740.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: GLAUKOS Corp (GKOS)
CIK: 0001192448
Period of Report: 2021-08-06
Reporting Person: Burns Thomas William (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-08-06 | Common Stock | M | 266880 | $4.225 | Acquired | 615062 | Direct |
| 2021-08-06 | Common Stock | M | 20000 | $7.275 | Acquired | 635062 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-08-06 | Stock Options (Right to Buy) | $4.225 | M | 256000 | Disposed | 2023-01-29 | Common Stock (256000) | Direct |
| 2021-08-06 | Stock Options (Right to Buy) | $4.225 | M | 10880 | Disposed | 2023-04-25 | Common Stock (10880) | Direct |
| 2021-08-06 | Stock Options (Right to Buy) | $7.275 | M | 20000 | Disposed | 2024-07-10 | Common Stock (20000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 277847 | Indirect |
| Common Stock | 238107 | Indirect |
| Common Stock | 120000 | Indirect |
| Common Stock | 100000 | Indirect |
| Common Stock | 100000 | Indirect |
Footnotes
F1: Includes 65,471 restricted stock units that have not yet vested or been delivered to the Reporting Person.
F2: This option was granted on January 29, 2013 and has a four-year vesting schedule in which 25% vested on the first year anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.
F3: This option was granted on April 25, 2013 and has a four-year vesting schedule in which 25% vested on the first year anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.
F4: This option was granted on July 10, 2014 and has a four-year vesting schedule in which 25% vested on the first year anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.