| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | GKOS | Common Stock | Options Exercise | $1.04M | +26.7K | +22.26% | $39.10 | 146K | Feb 23, 2024 | Direct | F1 |
| transaction | GKOS | Common Stock | Options Exercise | $3.1M | +74.4K | +50.81% | $41.69 | 221K | Feb 23, 2024 | Direct | F1 |
| transaction | GKOS | Common Stock | Options Exercise | $406K | +13.1K | +5.94% | $30.92 | 234K | Feb 23, 2024 | Direct | F1 |
| transaction | GKOS | Common Stock | Options Exercise | $180K | +4.61K | +1.97% | $39.10 | 239K | Feb 23, 2024 | Direct | F1 |
| transaction | GKOS | Common Stock | Sale | -$1.95M | -21.4K | -8.97% | $90.94 | 217K | Feb 23, 2024 | Direct | F1, F2 |
| transaction | GKOS | Common Stock | Sale | -$10.6M | -115K | -52.82% | $92.33 | 102K | Feb 23, 2024 | Direct | F1, F3 |
| transaction | GKOS | Common Stock | Sale | -$381K | -4.09K | -3.99% | $93.05 | 98.4K | Feb 23, 2024 | Direct | F1, F4 |
| 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 | -74.4K | -62.88% | $0.00 | 43.9K | Feb 23, 2024 | Common Stock | 74.4K | $41.69 | Direct | F5, F6 |
| transaction | GKOS | Stock Option (Right to Buy) | Options Exercise | $0 | -13.1K | -100% | $0.00* | 0 | Feb 23, 2024 | Common Stock | 13.1K | $30.92 | Direct | F6, F7 |
| transaction | GKOS | Stock Option (Right to Buy) | Options Exercise | $0 | -26.7K | -96.2% | $0.00 | 1.05K | Feb 23, 2024 | Common Stock | 26.7K | $39.10 | Direct | F8, F9 |
| transaction | GKOS | Stock Option (Right to Buy) | Options Exercise | $0 | -4.61K | -100% | $0.00* | 0 | Feb 23, 2024 | Common Stock | 4.61K | $39.10 | Direct | F10, F11 |
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 81,885 restricted stock units that have not yet vested or been delivered to the Reporting Person. |
| F2 | This transaction was executed in multiple trades at prices ranging from $90.37 to $91.02. 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. |
| F3 | This transaction was executed in multiple trades at prices ranging from $91.79 to $92.76. 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 $92.80 to $93.45. 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 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. |
| F6 | The amount reported takes into account a reconciliation adjustment to reflect the Reporting Person's economic interest in the shares underlying this stock option grant to comply with the terms of a domestic relations order issued in connection with a marital dissolution. |
| F7 | This option was granted on March 14, 2018 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. |
| F8 | This option was granted on March 12, 2020 and has a four-year vesting schedule in which 25% vested on the first anniversary of the grant date and the remainder vests in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date. |
| F9 | The amount reported reflects an adjustment of 5,000 shares underlying a stock option grant reported as exercised on a Form 4 filed with the Securities and Exchange Commission on February 12, 2024. The exercise was inadvertently attributed to the stock option grant issued on 3/12/2020 and subject to a time-based vesting schedule, but should have been attributed to the stock option grant issued on 3/12/2020 and subject to performance-based vesting requirements. In addition, the amount reported takes into account a reconciliation adjustment to reflect the Reporting Person's economic interest in the shares underlying this stock option grant to comply with the terms of a domestic relations order issued in connection with a marital dissolution. |
| F10 | Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 12, 2020, the vesting of which was subject to the Issuer's achievement of certain pre-determined operational targets over a multi-year performance period. |
| F11 | The amount reported reflects an adjustment of 5,000 shares underlying a stock option grant reported as exercised on a Form 4 filed with the Securities and Exchange Commission on February 12, 2024. The exercise was inadvertently attributed to the stock option grant issued on 3/12/2020 and subject to a time-based vesting schedule, but should have been attributed to the stock option grant issued on 3/12/2020 and subject to performance-based vesting requirements. |