Joseph E. Gilliam - Jul 14, 2023 Form 4 Insider Report for GLAUKOS Corp (GKOS)

Role
PRESIDENT & COO
Signature
Diana Scherer, Attorney-in-Fact
Stock symbol
GKOS
Transactions as of
Jul 14, 2023
Transactions value $
-$1,683,003
Form type
4
Date filed
7/18/2023, 09:59 PM
Previous filing
Jul 14, 2023
Next filing
Sep 12, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GKOS Common Stock Options Exercise $817K +19.6K +16.27% $41.69 140K Jul 14, 2023 Direct F1
transaction GKOS Common Stock Options Exercise $309K +10K +7.14% $30.92 150K Jul 14, 2023 Direct F1
transaction GKOS Common Stock Options Exercise $391K +10K +6.66% $39.10 160K Jul 14, 2023 Direct F1
transaction GKOS Common Stock Options Exercise $97.8K +2.5K +1.56% $39.10 163K Jul 14, 2023 Direct F1
transaction GKOS Common Stock Sale -$3.3M -42.1K -25.89% $78.34 120K Jul 14, 2023 Direct F1, F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction GKOS Stock Option (Right to Buy) Options Exercise $0 -19.6K -14.34% $0.00 117K Jul 14, 2023 Common Stock 19.6K $41.69 Direct F2, F3
transaction GKOS Stock Option (Right to Buy) Options Exercise $0 -10K -35.17% $0.00 18.4K Jul 14, 2023 Common Stock 10K $30.92 Direct F2, F4
transaction GKOS Stock Option (Right to Buy) Options Exercise $0 -10K -19.82% $0.00 40.5K Jul 14, 2023 Common Stock 10K $39.10 Direct F2, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 84,219 restricted stock units that have not yet vested or been delivered to the Reporting Person.
F2 This trade was made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.
F3 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.
F4 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.
F5 This option was granted on March 12, 2020 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.