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GLAUKOS Corp — Director's Dealing 2024
Mar 8, 2024
31074_dirs_2024-03-08_a62941aa-7ecf-4b85-9cef-45ae8e6cea2d.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: 2024-03-06
Reporting Person: Kliman Gilbert H (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-03-06 | Common Stock | S | 3145 | $86.01 | Disposed | 5202 | Indirect |
| 2024-03-06 | Common Stock | S | 5202 | $84.93 | Disposed | 0 | Indirect |
| 2024-03-07 | Common Stock | M | 5000 | $32 | Acquired | 35620 | Direct |
| 2024-03-07 | Common Stock | S | 5000 | $88.25 | Disposed | 30620 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-03-07 | Stock Option (Right to Buy) | $32 | M | 5000 | Disposed | 2025-07-23 | Common Stock (5000) | Direct |
Footnotes
F1: This transaction was executed in multiple trades at prices ranging from $86.00 to $86.15. 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.
F2: Consists of shares owned by InterWest Venture Management Company ("IVMC"). The Reporting Person is an officer, director and shareholder of IVMC and has sole voting and investment control over the shares held by IVMC.
F3: This transaction was executed in multiple trades at prices ranging from $84.50 to $85.00. 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.
F4: Includes 4,125 restricted stock units that have not yet vested or delivery of which has been deferred by the Reporting Person.
F5: This transaction was executed in multiple trades at prices ranging from $88.00 to $88.50. 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: 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.