Gilliam Joseph E's Form 4 filing
GLAUKOS Corp (GKOS) · filed Jul 18, 2023
- Accession no.
- 0001415889-23-011251
- Filed
- Jul 18, 2023
- Trade date
- Jul 14, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 5 non-derivative transactions and 3 derivative transactions. Open-market sales total $3.30M. It was filed 4 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 |
|---|---|
| Gilliam Joseph ECIK 0001705850 | Officer (PRESIDENT & COO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Jul 14, 2023 | Common Stock | MOption exerciseAcquired | +19,599 | $41.69 | +$817,082.31 | 140,083 | Direct | |
| Jul 14, 2023 | Common Stock | MOption exerciseAcquired | +10,000 | $30.92 | +$309,200 | 150,083 | Direct | |
| Jul 14, 2023 | Common Stock | MOption exerciseAcquired | +10,000 | $39.10 | +$391,000 | 160,083 | Direct | |
| Jul 14, 2023 | Common Stock | MOption exerciseAcquired | +2,500 | $39.10 | +$97,750 | 162,583 | Direct | |
| Jul 14, 2023 | Common Stock | SSaleDisposed | −42,099 | $78.34 | −$3,298,035.66 | 120,484 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 14, 2023 | Common Stock | MOption exerciseDisposed | −19,599 | $0.00 | $0 | 117,044 | Direct | |
| Jul 14, 2023 | Common Stock | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 18,437 | Direct | |
| Jul 14, 2023 | Common Stock | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 40,466 | 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.
No transaction price on this filing refers to a footnote.