Gilliam Joseph E's Form 4 filing
GLAUKOS Corp (GKOS) · filed Feb 27, 2024
- Accession no.
- 0001415889-24-005638
- Filed
- Feb 27, 2024
- Trade date
- Feb 23, 2024
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 7 non-derivative transactions and 4 derivative transactions. Open-market sales total $12.9M. 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 23, 2024 | Common Stock | MOption exerciseAcquired | +26,671 | $39.10 | +$1,042,836.1 | 146,473 | Direct | |
| Feb 23, 2024 | Common Stock | MOption exerciseAcquired | +74,425 | $41.69 | +$3,102,778.25 | 220,898 | Direct | |
| Feb 23, 2024 | Common Stock | MOption exerciseAcquired | +13,128 | $30.92 | +$405,917.76 | 234,026 | Direct | |
| Feb 23, 2024 | Common Stock | MOption exerciseAcquired | +4,607 | $39.10 | +$180,133.7 | 238,633 | Direct | |
| Feb 23, 2024 | Common Stock | SSaleDisposed | −21,414 | $90.94F2 | −$1,947,389.16 | 217,219 | Direct | |
| Feb 23, 2024 | Common Stock | SSaleDisposed | −114,739 | $92.33F3 | −$10,593,851.87 | 102,480 | Direct | |
| Feb 23, 2024 | Common Stock | SSaleDisposed | −4,092 | $93.05F4 | −$380,760.6 | 98,388 | 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 23, 2024 | Common Stock | MOption exerciseDisposed | −74,425 | $0.00 | $0 | 43,929 | Direct | |
| Feb 23, 2024 | Common Stock | MOption exerciseDisposed | −13,128 | $0.00 | $0 | 0 | Direct | |
| Feb 23, 2024 | Common Stock | MOption exerciseDisposed | −26,671 | $0.00 | $0 | 1,053 | Direct | |
| Feb 23, 2024 | Common Stock | MOption exerciseDisposed | −4,607 | $0.00 | $0 | 0 | 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 $90.37 to $91.02. 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.
- F3
This transaction was executed in multiple trades at prices ranging from $91.79 to $92.76. 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 $92.80 to $93.45. 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.