Marc Stapley - 15 May 2024 Form 4 Insider Report for GLAUKOS Corp (GKOS)

Role
Director
Signature
Diana Scherer, Attorney-in-Fact
Issuer symbol
GKOS
Transactions as of
15 May 2024
Net transactions value
-$504,993
Form type
4
Filing time
16 May 2024, 19:45:20 UTC
Previous filing
19 Mar 2024
Next filing
03 Jun 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GKOS Common Stock Options Exercise $200,000 +6,250 +19% $32.00 38,610 15 May 2024 Direct F1
transaction GKOS Common Stock Sale $229,231 -2,050 -5.3% $111.82 36,560 15 May 2024 Direct F1, F2, F3
transaction GKOS Common Stock Sale $248,402 -2,200 -6% $112.91 34,360 15 May 2024 Direct F1, F2, F4
transaction GKOS Common Stock Sale $227,360 -2,000 -5.8% $113.68 32,360 15 May 2024 Direct F1, F2, F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction GKOS Stock Option (Right to Buy) Options Exercise $0 -6,250 -50% $0.000000 6,250 15 May 2024 Common Stock 6,250 $32.00 Direct F6, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 Includes 7,840 restricted stock units that have not yet vested or delivery of which has been deferred by the Reporting Person.
F2 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2023.
F3 This transaction was executed in multiple trades at prices ranging from $111.39 - $112.38). 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.
F4 This transaction was executed in multiple trades at prices ranging from $112.40 - $113.39). 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.
F5 This transaction was executed in multiple trades at prices ranging from $113.40 to $113.90. 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.
F6 The option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 11, 2023.
F7 This option was granted on July 23, 2015 and has a three-year vesting schedule in which one-third vests on each of the first three anniversaries of the grant date, such that the stock option vests in full on the three-year anniversary of the grant date.