Joseph E. Gilliam - Apr 3, 2024 Form 4 Insider Report for GLAUKOS Corp (GKOS)

Role
PRESIDENT & COO
Signature
Diana Scherer, Attorney-in-Fact
Stock symbol
GKOS
Transactions as of
Apr 3, 2024
Transactions value $
-$16,564
Form type
4
Date filed
4/5/2024, 06:15 PM
Previous filing
Apr 3, 2024
Next filing
Apr 9, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GKOS Common Stock Options Exercise $11K +200 +0.2% $55.18 102K Apr 3, 2024 Direct F1
transaction GKOS Common Stock Sale -$19.3K -200 -0.2% $96.61 102K Apr 3, 2024 Direct F1, F2
transaction GKOS Common Stock Options Exercise $11K +200 +0.2% $55.18 102K Apr 4, 2024 Direct F1
transaction GKOS Common Stock Sale -$19.3K -200 -0.2% $96.57 102K Apr 4, 2024 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 -200 -0.46% $0.00 43.4K Apr 3, 2024 Common Stock 200 $55.18 Direct F3, F4
transaction GKOS Stock Option (Right to Buy) Options Exercise $0 -200 -0.46% $0.00 43.2K Apr 4, 2024 Common Stock 200 $55.18 Direct F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

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).

Explanation of Responses:

Id Content
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 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.
F4 The option was granted by the Issuer on March 24, 2022 and vests upon the Issuer's achievement of certain pre-determined operational targets over a multi-year performance period.