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GLAUKOS Corp — Director's Dealing 2024
Apr 10, 2024
31074_dirs_2024-04-10_26ef28eb-f298-45f9-9a37-f1cb49466539.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: 2024-04-08
Reporting Person: Gilliam Joseph E (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-04-08 | Common Stock | M | 59801 | $41.69 | Acquired | 161646 | Direct |
| 2024-04-08 | Common Stock | S | 10456 | $99.64 | Disposed | 151190 | Direct |
| 2024-04-08 | Common Stock | S | 41068 | $100.52 | Disposed | 110122 | Direct |
| 2024-04-08 | Common Stock | S | 8191 | $101.28 | Disposed | 101931 | Direct |
| 2024-04-08 | Common Stock | S | 86 | $102.13 | Disposed | 101845 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-04-08 | Stock Option (Right to Buy) | $41.69 | M | 59801 | Disposed | 2027-05-05 | Common Stock (59801) | Direct |
Footnotes
F1: Includes 76,419 restricted stock units that have not yet vested or been delivered to the Reporting Person.
F2: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 7, 2023.
F3: This transaction was executed in multiple trades at prices ranging from $99.01 to $100.01. 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.
F4: This transaction was executed in multiple trades at prices ranging from $100.02 to $101.02. 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: This transaction was executed in multiple trades at prices ranging from $101.03 to $102.00. 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.
F6: 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 7, 2023.
F7: The amount reported reflects an adjustment in the number of stock options outstanding in the amount of 15,872, as a result of a forfeiture of such stock options back to the Reporting Person in accordance with the terms of a domestic relations order issued in connection with a marital dissolution.
F8: This option was granted on May 5, 2017 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.