| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | GKOS | Common Stock | Options Exercise | $1,042,250 | +25,000 | +21% | $41.69 | 145,001 | 21 Dec 2023 | Direct | F1 |
| transaction | GKOS | Common Stock | Sale | $404,690 | -4,835 | -3.3% | $83.70 | 140,166 | 21 Dec 2023 | Direct | F2, F3, F4 |
| transaction | GKOS | Common Stock | Sale | $1,441,516 | -16,965 | -12% | $84.97 | 123,201 | 21 Dec 2023 | Direct | F2, F4, F5 |
| transaction | GKOS | Common Stock | Sale | $273,856 | -3,200 | -2.6% | $85.58 | 120,001 | 21 Dec 2023 | Direct | F2, F4, F6 |
| 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 | -25,000 | -21% | $0.000000 | 92,044 | 21 Dec 2023 | Common Stock | 25,000 | $41.69 | Direct | F7, F8 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | Includes 82,275 restricted stock units that have not yet vested or not yet been delivered to the Reporting Person. Also reflects a prior transfer by the Reporting Person of 88 shares of common stock pursuant a domestic relations order in connection with a marital dissolution. |
| 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 $83.38 to $84.35. 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 82,275 restricted stock units that have not yet vested or not yet been delivered to the Reporting Person. |
| F5 | This transaction was executed in multiple trades at prices ranging from $84.44 to $85.43. 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 transaction was executed in multiple trades at prices ranging from $85.44 to $85.71. 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. |
| F7 | The option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 7, 2023. |
| 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. |