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GLAUKOS Corp — Director's Dealing 2021
Feb 11, 2021
31074_dirs_2021-02-11_081740c2-05c7-43e2-95a4-d42531080a37.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: GLAUKOS Corp (GKOS)
CIK: 0001192448
Period of Report: 2021-02-09
Reporting Person: Gilliam Joseph E (CFO, SVP Corporate Development)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-02-09 | Common Stock | M | 3750 | $30.92 | Acquired | 46552 | Direct |
| 2021-02-09 | Common Stock | M | 10000 | $41.69 | Acquired | 56552 | Direct |
| 2021-02-09 | Common Stock | S | 11488 | $96.49 | Disposed | 45064 | Direct |
| 2021-02-09 | Common Stock | S | 2262 | $97.02 | Disposed | 42802 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-09 | Stock Options (Right to Buy) | $30.92 | M | 3750 | Disposed | 2028-03-14 | Common Stock (3750) | Direct |
| 2021-02-09 | Stock Options (Right to Buy) | $41.69 | M | 10000 | Disposed | 2027-05-05 | Common Stock (10000) | Direct |
Footnotes
F1: Includes 21,107 restricted stock units that have not yet vested or been delivered to the Reporting Person.
F2: 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 $95.91 to $96.90. 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 transaction was executed in multiple trades at prices ranging from $96.92 to $97.24. 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.
F5: These options vest over four years from the grant date, with 25% vesting on the first anniversary of the grant date and the remaining amount vesting in equal monthly installments over the following three years.