Gilliam Joseph E's Form 4 filing
GLAUKOS Corp (GKOS) · filed Dec 22, 2023
- Accession no.
- 0001415889-23-016914
- Filed
- Dec 22, 2023
- Trade date
- Dec 21, 2023
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Checked
This filing lists 4 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.12M. It was filed 1 day 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 21, 2023 | Common Stock | MOption exerciseAcquired | +25,000 | $41.69 | +$1,042,250 | 145,001 | Direct | |
| Dec 21, 2023 | Common Stock | SSaleDisposed | −4,835 | $83.70F3 | −$404,689.5 | 140,166 | Direct | |
| Dec 21, 2023 | Common Stock | SSaleDisposed | −16,965 | $84.97F5 | −$1,441,516.05 | 123,201 | Direct | |
| Dec 21, 2023 | Common Stock | SSaleDisposed | −3,200 | $85.58F6 | −$273,856 | 120,001 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 21, 2023 | Common Stock | MOption exerciseDisposed | −25,000 | $0.00 | $0 | 92,044 | 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 $83.38 to $84.35. 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 $84.44 to $85.43. 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 $85.44 to $85.71. 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.