Form 4 for GKOS GLAUKOS Corp
Accepted 2021-08-09 00:00:00 ET · period of report 2021-08-06 · accession 0001104659-21-102396 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-08-09 | 2021-08-06 | GKOS | Burns Thomas William | CEO, Dir | M - OptEx | $4.44 | +286.9K | 635.1K | +82% | +$1.27M |
| DM | 2021-08-09 | 2021-08-06 | GKOS | Burns Thomas William | CEO, Dir | M - OptEx | $0.00 | -286.9K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-08-06 | M | A | 266,880 | $4.23 | 615,062 | D | — | — | (F1) Includes 65,471 restricted stock units that have not yet vested or been delivered to the Reporting Person. |
| 2 | Common | Common Stock | 2021-08-06 | M | A | 20,000 | $7.28 | 635,062 | D | — | — | (F1) Includes 65,471 restricted stock units that have not yet vested or been delivered to the Reporting Person. |
| 3 | Derivative | Stock Options (Right to Buy) | 2021-08-06 | M | D | 256,000 | $0.00 | 0 | D | $4.23 · — to 2023-01-29 | 256,000 Common Stock | (F2) This option was granted on January 29, 2013 and has a four-year vesting schedule in which 25% vested on the first year anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date. |
| 4 | Derivative | Stock Options (Right to Buy) | 2021-08-06 | M | D | 20,000 | $0.00 | 520,000 | D | $7.28 · — to 2024-07-10 | 20,000 Common Stock | (F4) This option was granted on July 10, 2014 and has a four-year vesting schedule in which 25% vested on the first year anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date. |
| 5 | Derivative | Stock Options (Right to Buy) | 2021-08-06 | M | D | 10,880 | $0.00 | 0 | D | $4.23 · — to 2023-04-25 | 10,880 Common Stock | (F3) This option was granted on April 25, 2013 and has a four-year vesting schedule in which 25% vested on the first year anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date. |