Burns Thomas William's Form 4 filing
GLAUKOS Corp (GKOS) · filed May 17, 2023
- Accession no.
- 0001415889-23-008235
- Filed
- May 17, 2023
- Trade date
- May 15-16, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $454.2K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Burns Thomas WilliamCIK 0001644557 | Director, Officer (CHAIRMAN & CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 15, 2023 | Common Stock | MOption exerciseAcquired | +3,864 | $7.28 | +$28,129.92 | 677,827 | Direct | |
| May 15, 2023 | Common Stock | SSaleDisposed | −3,864 | $60.03F3 | −$231,955.92 | 673,963 | Direct | |
| May 16, 2023 | Common Stock | MOption exerciseAcquired | +3,704 | $7.28 | +$26,965.12 | 677,667 | Direct | |
| May 16, 2023 | Common Stock | SSaleDisposed | −3,704 | $60.01F4 | −$222,277.04 | 673,963 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 15, 2023 | Common Stock | MOption exerciseDisposed | −3,864 | $0.00 | $0 | 516,136 | Direct | |
| May 16, 2023 | Common Stock | MOption exerciseDisposed | −3,704 | $0.00 | $0 | 512,432 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
This transaction was executed in multiple trades at prices ranging from $60.00 to $60.11. 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.
Referenced by the price of 1 transaction in Table I.
- F4
This transaction was executed in multiple trades at prices ranging from $60.00 to $60.05. 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.
Referenced by the price of 1 transaction in Table I.