Gilliam Joseph E's Form 4 filing
GLAUKOS Corp (GKOS) · filed Feb 12, 2024
- Accession no.
- 0001415889-24-003420
- Filed
- Feb 12, 2024
- Trade date
- Feb 8-9, 2024
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $541.4K. 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 8, 2024 | Common Stock | MOption exerciseAcquired | +5,000 | $39.10 | +$195,500 | 124,802 | Direct | |
| Feb 8, 2024 | Common Stock | SSaleDisposed | −5,000 | $96.07F3 | −$480,350 | 119,802 | Direct | |
| Feb 9, 2024 | Common Stock | MOption exerciseAcquired | +631 | $55.18 | +$34,818.58 | 120,433 | Direct | |
| Feb 9, 2024 | Common Stock | SSaleDisposed | −631 | $96.70F4 | −$61,017.7 | 119,802 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 8, 2024 | Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 25,466 | Direct | |
| Feb 9, 2024 | Common Stock | MOption exerciseDisposed | −631 | $0.00 | $0 | 41,448 | 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 $96.01 to $96.38. 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 $96.57 to $97.02. 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.