Burns Thomas William's Form 4 filing
GLAUKOS Corp (GKOS) · filed Oct 4, 2023
- Accession no.
- 0001415889-23-014008
- Filed
- Oct 4, 2023
- Trade date
- Oct 2, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 6 non-derivative transactions and 1 derivative transaction. Open-market sales total $3.24M. 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 2, 2023 | Common Stock | MOption exerciseAcquired | +45,000 | $7.28 | +$327,600 | 99,785 | Direct | |
| Oct 2, 2023 | Common Stock | SSaleDisposed | −14,726 | $70.75F2 | −$1,041,864.5 | 85,059 | Direct | |
| Oct 2, 2023 | Common Stock | SSaleDisposed | −10,100 | $71.54F3 | −$722,554 | 74,959 | Direct | |
| Oct 2, 2023 | Common Stock | SSaleDisposed | −11,963 | $72.70F4 | −$869,710.1 | 62,996 | Direct | |
| Oct 2, 2023 | Common Stock | SSaleDisposed | −7,879 | $73.67F5 | −$580,445.93 | 55,117 | Direct | |
| Oct 2, 2023 | Common Stock | SSaleDisposed | −332 | $74.36F6 | −$24,687.52 | 54,785 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 2, 2023 | Common Stock | MOption exerciseDisposed | −45,000 | $0.00 | $0 | 324,800 | 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.
- F2
This transaction was executed in multiple trades at prices ranging from $70.14 to $71.13. 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.
- F3
This transaction was executed in multiple trades at prices ranging from $71.15 to $71.87. 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 $72.24 to $73.06. 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.
- F5
This transaction was executed in multiple trades at prices ranging from $73.31 to $74.22. 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.
- F6
This transaction was executed in multiple trades at prices ranging from $74.34 to $74.375. 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.