Gilbert H. Kliman - Dec 20, 2024 Form 4 Insider Report for GLAUKOS Corp (GKOS)

Role
Director
Signature
Diana Scherer, Attorney-in-Fact
Stock symbol
GKOS
Transactions as of
Dec 20, 2024
Transactions value $
-$1,182,800
Form type
4
Date filed
12/23/2024, 07:53 PM
Previous filing
Dec 13, 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 $320K +10K +30.93% $32.00 42.3K Dec 20, 2024 Direct F1
transaction GKOS Common Stock Sale -$1.5M -10K -23.62% $150.28 32.3K Dec 20, 2024 Direct F1, F2, F3

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 -10K -100% $0.00 0 Dec 20, 2024 Common Stock 10K $32.00 Direct F4, F5
* 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 2,611 restricted stock units that have not vested or been delivered to 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 June 15, 2024.
F3 This transaction was executed in multiple trades at prices ranging from $150.00 to $150.99. 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 The option exercises reported in this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 15, 2024.
F5 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.