Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Caris Life Sciences, Inc.CAI · Entity 3706 | Director | August 14, 2026 | August 14, 2026 |
| GLAUKOS CorpGKOS · Entity 3510 | PRESIDENT & COO | August 11, 2026 | August 13, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Caris Life Sciences, Inc.
Report date August 14, 2026 · Filed August 14, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 29,321 |
Reported balance
After 2026-08-14 transaction · row 1
1 source rowRow 1 · 2026-08-14 · Grant · Acquired 13,192 · Balance 29,321 F1: Represents an award of restricted stock units which vest in accordance with the applicable grant agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents an award of restricted stock units which vest in accordance with the applicable grant agreement.
GLAUKOS Corp
Report date August 11, 2026 · Filed August 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 72,588 |
Last balance in matching sequence
After 2026-08-11 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
6 source rowsRow 1 · 2026-08-11 · Exercise / conversion · Acquired 10,000 · Balance 82,588 F1: Includes 41,983 restricted stock units that have not yet vested or been delivered to the Reporting Person and and 225 stock units purchased by the Reporting Person through the Issuer's Employee Stock Purchase Plan. Row 2 · 2026-08-11 · Exercise / conversion · Acquired 20,000 · Balance 102,588 F1: Includes 41,983 restricted stock units that have not yet vested or been delivered to the Reporting Person and and 225 stock units purchased by the Reporting Person through the Issuer's Employee Stock Purchase Plan. Row 3 · 2026-08-11 · Exercise / conversion · Acquired 20,000 · Balance 122,588 F1: Includes 41,983 restricted stock units that have not yet vested or been delivered to the Reporting Person and and 225 stock units purchased by the Reporting Person through the Issuer's Employee Stock Purchase Plan. Row 4 · 2026-08-11 · Exercise / conversion · Acquired 10,000 · Balance 132,588 F1: Includes 41,983 restricted stock units that have not yet vested or been delivered to the Reporting Person and and 225 stock units purchased by the Reporting Person through the Issuer's Employee Stock Purchase Plan. Row 5 · 2026-08-11 · Sale · Disposed 27,963 · Balance 104,625 F2: This transaction was executed in multiple trades at prices ranging from $178.60 to $179.58). 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. F1: Includes 41,983 restricted stock units that have not yet vested or been delivered to the Reporting Person and and 225 stock units purchased by the Reporting Person through the Issuer's Employee Stock Purchase Plan. Row 6 · 2026-08-11 · Sale · Disposed 32,037 · Balance 72,588 F3: This transaction was executed in multiple trades at prices ranging from $179.68 to $180.60). 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. F1: Includes 41,983 restricted stock units that have not yet vested or been delivered to the Reporting Person and and 225 stock units purchased by the Reporting Person through the Issuer's Employee Stock Purchase Plan. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $55.18 · Expires 2032-03-24 | Direct | 51,475 |
Reported balance
After 2026-08-11 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2026-08-11 · Exercise / conversion · Disposed 20,000 · Balance 51,475 F4: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 24, 2022, the vesting of which was subject to the Issuer's achievement of certain pre-determined operational targets over a multi-year performance period. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $55.18 · Expires 2032-03-24 | Direct | 33,118 |
Reported balance
After 2026-08-11 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2026-08-11 · Exercise / conversion · Disposed 20,000 · Balance 33,118 F5: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer to the Reporting Person on March 24, 2022 in connection with his promotion to President and Chief Operating Officer, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. F6: Total amount reported has been adjusted to correct a typographical error made in a Form 4 report filed by the Reporting Person on March 17, 2025, in which 13,721 stock options earned were erroneously reported as 13,271 stock options. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $48.46 · Expires 2033-03-22 | Direct | 26,751 |
Reported balance
After 2026-08-11 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2026-08-11 · Exercise / conversion · Disposed 10,000 · Balance 26,751 F7: These options vest over four years from the grant date, with 25% vesting on the first anniversary of the grant date and the remaining amount vesting in equal monthly installments over the following three years. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $48.46 · Expires 2033-03-22 | Direct | 26,751 |
Reported balance
After 2026-08-11 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2026-08-11 · Exercise / conversion · Disposed 10,000 · Balance 26,751 F8: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 22, 2023, the vesting of which was subject to the Issuer's achievement of certain pre-determined operational targets over a multi-year performance period. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 41,983 restricted stock units that have not yet vested or been delivered to the Reporting Person and and 225 stock units purchased by the Reporting Person through the Issuer's Employee Stock Purchase Plan.
F2: This transaction was executed in multiple trades at prices ranging from $178.60 to $179.58). 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.
F3: This transaction was executed in multiple trades at prices ranging from $179.68 to $180.60). 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: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 24, 2022, the vesting of which was subject to the Issuer's achievement of certain pre-determined operational targets over a multi-year performance period.
F5: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer to the Reporting Person on March 24, 2022 in connection with his promotion to President and Chief Operating Officer, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals.
F6: Total amount reported has been adjusted to correct a typographical error made in a Form 4 report filed by the Reporting Person on March 17, 2025, in which 13,721 stock options earned were erroneously reported as 13,271 stock options.
F7: These options vest over four years from the grant date, with 25% vesting on the first anniversary of the grant date and the remaining amount vesting in equal monthly installments over the following three years.
F8: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 22, 2023, the vesting of which was subject to the Issuer's achievement of certain pre-determined operational targets over a multi-year performance period.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 14, 2023 Filed Sep 18, 2023 22:10 UTC | GLAUKOS Corp GKOS · Entity 3510 | GrantStock Option (Right to Buy) · Derivative | 7,318 | $0.00 Strike: $55.18 | $0.00 |
DisclosureSEC source: 0001415889-23-013344 · form4-09182023_100957.xml · derivative · entry 1 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,420 Underlying: Common Stock · 7,318 shares Expires 2032-03-24 F1 · shares: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 24, 2022, the vesting of which was subject to the Issuer's achievement of certain pre-determined operational targets over a multi-year performance period. The Compensation, Nominating & Governance Committee determined on September 14, 2023 that certain of the operational targets had been achieved. The number of shares of common stock subject to the stock option as reported herein consists of the portion of the award that was earned based upon the achievement of the operational targets. F2 · derivative.exercise_date: 50% of the portion of the option reported herein will vest and become exercisable in October 2023, and the remaining 50% will vest and become exercisable in July 2024. Read SEC document |
| September 08, 2023 Filed Sep 12, 2023 21:41 UTC | GLAUKOS Corp GKOS · Entity 3510 | Tax withholdingCommon Stock | 964 | $74.72 | $72,030.08 |
DisclosureSEC source: 0001415889-23-013182 · form4-09122023_090933.xml · nonDerivative · entry 1 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 120,089 F1 · shares: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer. F2 · balance_after: Includes 82,275 restricted stock units that have not yet vested or been delivered to the Reporting Person, and includes 569 shares of common stock of the Issuer that were purchased by the Reporting Person through the Issuer's Employee Stock Purchase Plan. Read SEC document |
| July 14, 2023 Filed Jul 19, 2023 01:59 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionStock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $39.10 | $0.00 |
DisclosureSEC source: 0001415889-23-011251 · form4-07192023_010723.xml · derivative · entry 8 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,466 Underlying: Common Stock · 10,000 shares Expires 2030-03-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: This trade was made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F5 · derivative.exercise_date: This option was granted on March 12, 2020 and had a four-year vesting schedule in which 25% vested on the first anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vested in full on the four-year anniversary of the grant date. Read SEC document |
| July 14, 2023 Filed Jul 19, 2023 01:59 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionStock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $30.92 | $0.00 |
DisclosureSEC source: 0001415889-23-011251 · form4-07192023_010723.xml · derivative · entry 7 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,437 Underlying: Common Stock · 10,000 shares Expires 2028-03-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: This trade was made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F4 · derivative.exercise_date: This option was granted on May 5, 2017 and had a four-year vesting schedule in which 25% vested on the first anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vested in full on the four-year anniversary of the grant date. Read SEC document |
| July 14, 2023 Filed Jul 19, 2023 01:59 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionStock Option (Right to Buy) · Derivative | 19,599 | $0.00 Strike: $41.69 | $0.00 |
DisclosureSEC source: 0001415889-23-011251 · form4-07192023_010723.xml · derivative · entry 6 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 117,044 Underlying: Common Stock · 19,599 shares Expires 2027-05-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: This trade was made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F3 · derivative.exercise_date: This option was granted on May 5, 2017 and had a four-year vesting schedule in which 25% vested on the first anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vested in full on the four-year anniversary of the grant date. Read SEC document |
| July 14, 2023 Filed Jul 19, 2023 01:59 UTC | GLAUKOS Corp GKOS · Entity 3510 | SaleCommon Stock | 42,099 | $78.34 | $3,298,035.66 |
DisclosureSEC source: 0001415889-23-011251 · form4-07192023_010723.xml · nonDerivative · entry 5 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 120,484 F2 · kind: This trade was made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F1 · balance_after: Includes 84,219 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| July 14, 2023 Filed Jul 19, 2023 01:59 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionCommon Stock | 2,500 | $39.10 | $97,750.00 |
DisclosureSEC source: 0001415889-23-011251 · form4-07192023_010723.xml · nonDerivative · entry 4 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 162,583 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 84,219 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| July 14, 2023 Filed Jul 19, 2023 01:59 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionCommon Stock | 10,000 | $39.10 | $391,000.00 |
DisclosureSEC source: 0001415889-23-011251 · form4-07192023_010723.xml · nonDerivative · entry 3 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 160,083 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 84,219 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| July 14, 2023 Filed Jul 19, 2023 01:59 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionCommon Stock | 10,000 | $30.92 | $309,200.00 |
DisclosureSEC source: 0001415889-23-011251 · form4-07192023_010723.xml · nonDerivative · entry 2 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 150,083 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 84,219 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| July 14, 2023 Filed Jul 19, 2023 01:59 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionCommon Stock | 19,599 | $41.69 | $817,082.31 |
DisclosureSEC source: 0001415889-23-011251 · form4-07192023_010723.xml · nonDerivative · entry 1 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 140,083 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 84,219 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| July 12, 2023 Filed Jul 14, 2023 20:21 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionStock Option (Right to Buy) · Derivative | 2,700 | $0.00 Strike: $41.69 | $0.00 |
DisclosureSEC source: 0001415889-23-011120 · form4-07142023_080725.xml · derivative · entry 3 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 136,643 Underlying: Common Stock · 2,700 shares Expires 2027-05-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: This trade was made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F4 · derivative.exercise_date: This option was granted on May 5, 2017 and had a four-year vesting schedule in which 25% vested on the first anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vested in full on the four-year anniversary of the grant date. Read SEC document |
| July 12, 2023 Filed Jul 14, 2023 20:21 UTC | GLAUKOS Corp GKOS · Entity 3510 | SaleCommon Stock | 2,700 | $73.09 | $197,343.00 |
DisclosureSEC source: 0001415889-23-011120 · form4-07142023_080725.xml · nonDerivative · entry 2 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 120,484 F2 · kind: This trade was made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F3 · price: This transaction was executed in multiple trades at prices ranging from $72.96 to $73.35. 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. F1 · balance_after: Includes 84,219 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| July 12, 2023 Filed Jul 14, 2023 20:21 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionCommon Stock | 2,700 | $41.69 | $112,563.00 |
DisclosureSEC source: 0001415889-23-011120 · form4-07142023_080725.xml · nonDerivative · entry 1 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 123,184 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 84,219 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| April 06, 2023 Filed Apr 10, 2023 23:25 UTC | GLAUKOS Corp GKOS · Entity 3510 | Tax withholdingCommon Stock | 1,340 | $45.91 | $61,519.40 |
DisclosureSEC source: 0001415889-23-006420 · form4-04102023_110447.xml · nonDerivative · entry 1 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 120,484 F1 · shares: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer. F2 · balance_after: Includes 84,219 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| March 24, 2023 Filed Mar 29, 2023 01:07 UTC | GLAUKOS Corp GKOS · Entity 3510 | Tax withholdingCommon Stock | 3,134 | $49.35 | $154,662.90 |
DisclosureSEC source: 0001415889-23-005533 · form4-03292023_010340.xml · nonDerivative · entry 1 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 121,824 F1 · shares: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on March 24, 2022. F2 · balance_after: Includes 88,094 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| March 22, 2023 Filed Mar 25, 2023 01:05 UTC | GLAUKOS Corp GKOS · Entity 3510 | GrantStock Option (Right to Buy) · Derivative | 12,807 | $0.00 Strike: $55.18 | $0.00 |
DisclosureSEC source: 0001415889-23-005410 · form4-03252023_010322.xml · derivative · entry 4 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,528 Underlying: Common Stock · 12,807 shares Expires 2032-03-24 F5 · shares: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 24, 2022, the vesting of which was subject to the Issuer's achievement of certain pre-determined operational targets over a multi-year performance period. The Compensation, Nominating & Governance Committee determined on March 22, 2023 that certain of the operational targets had been achieved. The number of shares of common stock subject to the stock option as reported herein consists of the portion of the award that was earned based upon the achievement of the operational targets. F6 · derivative.exercise_date: 50% of the portion of the option reported herein will vest and become exercisable in April 2023, and the remaining 50% will vest and become exercisable in January 2024. Read SEC document |
| March 22, 2023 Filed Mar 25, 2023 01:05 UTC | GLAUKOS Corp GKOS · Entity 3510 | GrantStock Option (Right to Buy) · Derivative | 13,721 | $0.00 Strike: $55.18 | $0.00 |
DisclosureSEC source: 0001415889-23-005410 · form4-03252023_010322.xml · derivative · entry 3 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,721 Underlying: Common Stock · 13,721 shares Expires 2032-03-24 F4 · shares: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer to the Reporting Person on March 24, 2022 in connection with his promotion to President and Chief Operating Officer, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation, Nominating & Governance Committee determined on March 22, 2023 the level of achievement for the first year of the multi-year performance period. The number of shares of common stock subject to the stock option reported herein consists of the portion of the shares subject to the stock option that vested with respect to 100% of the first-year performance goal. Read SEC document |
| March 22, 2023 Filed Mar 25, 2023 01:05 UTC | GLAUKOS Corp GKOS · Entity 3510 | GrantStock Option (Right to Buy) · Derivative | 36,751 | $0.00 Strike: $48.46 | $0.00 |
DisclosureSEC source: 0001415889-23-005410 · form4-03252023_010322.xml · derivative · entry 2 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,751 Underlying: Common Stock · 36,751 shares Expires 2033-03-22 F3 · derivative.exercise_date: These options vest over four years from the grant date, with 25% vesting on the first anniversary of the grant date and the remaining amount vesting in equal monthly installments over the following three years. Read SEC document |
| March 22, 2023 Filed Mar 25, 2023 01:05 UTC | GLAUKOS Corp GKOS · Entity 3510 | GrantCommon Stock | 20,636 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-005410 · form4-03252023_010322.xml · nonDerivative · entry 1 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 124,958 F1 · shares: Granted by the Issuer in the form of restricted stock units which vest over a four-year period, with 25% to vest on each anniversary of the grant date. F2 · balance_after: Includes 97,155 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| March 14, 2023 Filed Mar 16, 2023 22:08 UTC | GLAUKOS Corp GKOS · Entity 3510 | Tax withholdingCommon Stock | 579 | $47.40 | $27,444.60 |
DisclosureSEC source: 0001415889-23-005035 · form4-03162023_100327.xml · nonDerivative · entry 1 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,322 F1 · shares: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer. F2 · balance_after: Includes 76,519 restricted stock units that have not yet vested or have not been delivered to the Reporting Person. Also includes 527 shares previously purchased by the Reporting Person pursuant to the Company's Employee Stock Purchase Plan. Read SEC document |
| January 11, 2023 Filed Jan 13, 2023 22:28 UTC | GLAUKOS Corp GKOS · Entity 3510 | Tax withholdingCommon Stock | 159 | $43.88 | $6,976.92 |
DisclosureSEC source: 0001415889-23-000997 · form4-01132023_100118.xml · nonDerivative · entry 2 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,374 F1 · shares: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer. F2 · balance_after: Includes 78,097 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| January 11, 2023 Filed Jan 13, 2023 22:28 UTC | GLAUKOS Corp GKOS · Entity 3510 | Tax withholdingCommon Stock | 795 | $45.17 | $35,910.15 |
DisclosureSEC source: 0001415889-23-000997 · form4-01132023_100118.xml · nonDerivative · entry 1 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,533 F1 · shares: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer. F2 · balance_after: Includes 78,097 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| December 15, 2022 Filed Dec 20, 2022 00:48 UTC | GLAUKOS Corp GKOS · Entity 3510 | GrantStock Option (Right to Buy) · Derivative | 18,295 | $0.00 Strike: $55.18 | $0.00 |
DisclosureSEC source: 0001415889-22-012790 · form4-12202022_121207.xml · derivative · entry 1 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,295 Underlying: Common Stock · 18,295 shares Expires 2032-03-24 F1 · shares: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 24, 2022, the vesting of which was subject to the Issuer's achievement of certain pre-determined operational targets over a multi-year performance period. The Compensation, Nominating and Governance Committee of the Issuer's Board of Directors determined on December 15, 2022 that certain of the operational targets had been achieved. The number of shares of common stock subject to the stock option as reported herein consists of the portion of the award that was earned based upon the achievement of the operational targets. F2 · derivative.exercise_date: 70% of the portion of the option reported herein will vest and become exercisable in January 2023, and the remaining 30% will vest and become exercisable in March 2023. Read SEC document |
| November 25, 2022 Filed Dec 6, 2022 00:31 UTC | GLAUKOS Corp GKOS · Entity 3510 | Tax withholdingCommon Stock | 678 | $53.41 | $36,211.98 |
DisclosureSEC source: 0001415889-22-012083 · form4-12062022_121225.xml · nonDerivative · entry 2 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,328 F3 · shares: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on March 18, 2021. F4 · balance_after: Includes 80,428 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| September 15, 2022 Filed Dec 6, 2022 00:31 UTC | GLAUKOS Corp GKOS · Entity 3510 | GrantCommon Stock | 3,887 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-22-012083 · form4-12062022_121225.xml · nonDerivative · entry 1 Gilliam Joseph E · CIK 0001705850 · PRESIDENT & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,006 F1 · shares: Represents shares of common stock underlying a portion of an award of restricted stock units previously granted by the Issuer on March 18, 2021, the vesting of which was subject to the Issuer's achievement of certain pre-determined operational targets over a multi-year performance period. The Compensation Committee determined on September 15, 2022 that one of the operational targets had been achieved. The Reporting Person elected to receive this performance grant in the form of restricted stock units. The number of shares reported herein consists of the portion of the award that was deemed earned based upon the achievement of the operational target. 50% of the number of shares of common stock reported herein vested and was delivered on November 25, 2022 and the remaining 50% will vest and be delivered on August 2, 2023. F2 · balance_after: Includes 82,371 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| April 19, 2022 Filed Apr 21, 2022 23:14 UTC | GLAUKOS Corp GKOS · Entity 3510 | Tax withholdingCommon Stock | 672 | $60.47 | $40,635.84 |
DisclosureSEC source: 0001104659-22-048497 · tm2213003-4_4seq1.xml · nonDerivative · entry 1 Gilliam Joseph E · CIK 0001705850 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,614 F1 · shares: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer. F2 · balance_after: Includes 75,979 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| April 04, 2022 Filed Apr 6, 2022 01:57 UTC | GLAUKOS Corp GKOS · Entity 3510 | OtherCommon Stock | 251 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-042965 · tm2211737-3_4seq1.xml · nonDerivative · entry 3 Gilliam Joseph E · CIK 0001705850 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,286 F5 · kind: In order to comply with the terms of a domestic relations order ("DRO") in connection with a marital dissolution, the Reporting Person's former spouse now holds the economic interest, and the Reporting Person no longer has any pecuniary interest, in the reported securities, which were reported above as directly owned by the Reporting Person. While the Reporting Person retains possession of the common stock until they are sold in connection with the DRO, the Reporting Person's former spouse will receive the economic benefits from, and the Reporting Person will have no discretion with respect to, such securities. (Continued in footnote 4) F6 · kind: Accordingly, the Reporting Person will not report beneficial ownership or dispositions of these securities in future Section 16(a) reports, including to the extent such securities are sold pursuant to a Rule 10b5-1 trading plan that has been or may be adopted by the Reporting Person that includes these securities. Likewise, the number of shares of common stock of the Issuer that may be reported as withheld to satisfy tax obligations in Table 1 will not include the shares withheld with respect to the portion of the restricted stock units representing the former spouse's economic interest. F4 · balance_after: Includes 77,922 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| April 01, 2022 Filed Apr 6, 2022 01:57 UTC | GLAUKOS Corp GKOS · Entity 3510 | GrantCommon Stock | 24,679 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-042965 · tm2211737-3_4seq1.xml · nonDerivative · entry 2 Gilliam Joseph E · CIK 0001705850 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,537 F3 · shares: Granted by the Issuer in the form of restricted stock units which vest 50% on the third anniversary of the grant date and 50% on the fourth anniversary of the grant date. F4 · balance_after: Includes 77,922 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| April 01, 2022 Filed Apr 6, 2022 01:57 UTC | GLAUKOS Corp GKOS · Entity 3510 | Tax withholdingCommon Stock | 1,340 | $60.78 | $81,445.20 |
DisclosureSEC source: 0001104659-22-042965 · tm2211737-3_4seq1.xml · nonDerivative · entry 1 Gilliam Joseph E · CIK 0001705850 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,858 F1 · shares: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer. F2 · balance_after: Includes 53,243 restricted stock units that have not yet vested or been delivered to the Reporting Person. Also includes 296 shares purchased by the Reporting Person pursuant to the Issuer's Employee Stock Purchase Plan. Read SEC document |
| March 24, 2022 Filed Mar 29, 2022 00:29 UTC | GLAUKOS Corp GKOS · Entity 3510 | GrantStock Option (Right to Buy) · Derivative | 5,268 | $0.00 Strike: $39.10 | $0.00 |
DisclosureSEC source: 0001104659-22-038982 · tm2210670-3_4seq1.xml · derivative · entry 3 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,107 Underlying: Common Stock · 5,268 shares Expires 2030-03-12 F5 · shares: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 12, 2020, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") determined on March 24, 2022 the level of achievement for the second year of the multi-year performance period. The number of shares of common stock subject to the stock option as reported herein consists of the portion of the award that was earned based upon the achievement with respect to the second-year performance goal. The portion of the option reported herein will vest and become exercisable on April 1, 2022. Read SEC document |
| March 24, 2022 Filed Mar 29, 2022 00:29 UTC | GLAUKOS Corp GKOS · Entity 3510 | GrantCommon Stock | 36,245 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-038982 · tm2210670-3_4seq1.xml · nonDerivative · entry 2 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,902 F3 · shares: Granted by the Issuer in the form of restricted stock units which vest over a four-year period, with 25% to vest on each anniversary of the grant date. F4 · balance_after: Includes 57,117 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| March 24, 2022 Filed Mar 29, 2022 00:29 UTC | GLAUKOS Corp GKOS · Entity 3510 | GrantCommon Stock | 3,886 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-038982 · tm2210670-3_4seq1.xml · nonDerivative · entry 1 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,657 F1 · shares: Represents shares of common stock underlying a portion of an award of restricted stock units previously granted by the Issuer on March 18, 2021, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") determined on March 24, 2022 the level of achievement for the first year of the multi-year performance period. The Reporting Person elected to receive this performance grant in the form of restricted stock units. The number of shares reported herein consists of the portion of the award that was deemed earned based upon the achievement with respect to the first-year performance goal. 50% of the number of shares of common stock reported herein will vest and be delivered on April 6, 2022 and the remaining 50% will vest and be delivered on January 6, 2023. F2 · balance_after: Includes 20,872 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| March 24, 2022 Filed Jun 22, 2022 21:43 UTC Amendment | GLAUKOS Corp GKOS · Entity 3510 | GrantCommon Stock | 27,184 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-073582 · tm2219185-1_4aseq1.xml · nonDerivative · entry 1 Gilliam Joseph E · CIK 0001705850 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,119 F1 · shares: This Form 4 amends a Form 4 filed April 5, 2022 that reflected an incorrect number of restricted stock units ("RSUs") granted to the Reporting Person as 24,679 RSUs, and an incorrect grant date of April 1, 2022, due to an administrative error. The correct number of RSUs granted to the Reporting Person was 27,184, and the correct grant date was March 24, 2022, as shown above. F2 · balance_after: After giving effect to this Amendment and the transactions reported on the Form 4 filed by the Reporting Person on April 21, 2022, the Reporting Person owns 102,119 shares directly, which includes 78,484 RSUs that have not yet vested and been delivered. Read SEC document |
| March 16, 2022 Filed Mar 19, 2022 01:32 UTC | GLAUKOS Corp GKOS · Entity 3510 | Tax withholdingCommon Stock | 646 | $48.59 | $31,389.14 |
DisclosureSEC source: 0001104659-22-035770 · tm229831-3_4seq1.xml · nonDerivative · entry 1 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,771 F1 · shares: Consists of shares withheld by the Issuer with respect to income taxes payable by the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on March 14, 2019. F2 · balance_after: Includes 16,986 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| January 06, 2022 Filed Jan 7, 2022 23:47 UTC | GLAUKOS Corp GKOS · Entity 3510 | Tax withholdingCommon Stock | 159 | $47.42 | $7,539.78 |
DisclosureSEC source: 0001104659-22-002372 · tm222365-3_4seq1.xml · nonDerivative · entry 1 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,417 F1 · shares: Consists of shares withheld by the Issuer with respect to income taxes payable by the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on December 17, 2020. F2 · balance_after: Includes 18,564 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| May 06, 2021 Filed May 8, 2021 00:41 UTC | GLAUKOS Corp GKOS · Entity 3510 | SaleCommon Stock | 100 | $85.00 | $8,500.00 |
DisclosureSEC source: 0001104659-21-063275 · tm2115239-2_4seq1.xml · nonDerivative · entry 5 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,190 F3 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F2 · balance_after: Includes 18,950 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| May 06, 2021 Filed May 8, 2021 00:41 UTC | GLAUKOS Corp GKOS · Entity 3510 | SaleCommon Stock | 100 | $83.61 | $8,361.00 |
DisclosureSEC source: 0001104659-21-063275 · tm2115239-2_4seq1.xml · nonDerivative · entry 4 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,290 F3 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F2 · balance_after: Includes 18,950 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| May 06, 2021 Filed May 8, 2021 00:41 UTC | GLAUKOS Corp GKOS · Entity 3510 | SaleCommon Stock | 1,143 | $82.71 | $94,537.53 |
DisclosureSEC source: 0001104659-21-063275 · tm2115239-2_4seq1.xml · nonDerivative · entry 3 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,390 F3 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F5 · price: This transaction was executed in multiple trades at prices ranging from $82.54 to $82.90. 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. F2 · balance_after: Includes 18,950 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| May 06, 2021 Filed May 8, 2021 00:41 UTC | GLAUKOS Corp GKOS · Entity 3510 | SaleCommon Stock | 3,657 | $81.95 | $299,691.15 |
DisclosureSEC source: 0001104659-21-063275 · tm2115239-2_4seq1.xml · nonDerivative · entry 2 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,533 F3 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F4 · price: This transaction was executed in multiple trades at prices ranging from $81.49 to $82.43. 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. F2 · balance_after: Includes 18,950 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| May 06, 2021 Filed May 8, 2021 00:41 UTC | GLAUKOS Corp GKOS · Entity 3510 | Tax withholdingCommon Stock | 10,549 | $82.63 | $871,663.87 |
DisclosureSEC source: 0001104659-21-063275 · tm2115239-2_4seq1.xml · nonDerivative · entry 1 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,190 F1 · kind: Consists of shares withheld by the Issuer with respect to income taxes payable by the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on May 5, 2017, with the vesting schedule in four equal installments on May 5, 2018, May 5, 2019, May 5, 2020 and May 5, 2021. F2 · balance_after: Includes 18,950 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| May 03, 2021 Filed May 6, 2021 00:30 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionStock Options (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $30.92 | $0.00 |
DisclosureSEC source: 0001104659-21-061899 · tm2115239-1_4seq1.xml · derivative · entry 7 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,437 Underlying: Common Stock · 5,000 shares Expires 2028-03-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F6 · derivative.exercise_date: These options vest over four years from the grant date, with 25% vesting on the first anniversary of the grant date and the remaining amount vesting in equal monthly installments over the following three years. Read SEC document |
| May 03, 2021 Filed May 6, 2021 00:30 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionStock Options (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $41.69 | $0.00 |
DisclosureSEC source: 0001104659-21-061899 · tm2115239-1_4seq1.xml · derivative · entry 6 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,343 Underlying: Common Stock · 10,000 shares Expires 2027-05-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F6 · derivative.exercise_date: These options vest over four years from the grant date, with 25% vesting on the first anniversary of the grant date and the remaining amount vesting in equal monthly installments over the following three years. Read SEC document |
| May 03, 2021 Filed May 6, 2021 00:30 UTC | GLAUKOS Corp GKOS · Entity 3510 | SaleCommon Stock | 750 | $95.02 | $71,265.00 |
DisclosureSEC source: 0001104659-21-061899 · tm2115239-1_4seq1.xml · nonDerivative · entry 5 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,739 F2 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F5 · price: This transaction was executed in multiple trades at prices ranging from $94.93 to $95.10. 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. F1 · balance_after: Includes 35,517 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| May 03, 2021 Filed May 6, 2021 00:30 UTC | GLAUKOS Corp GKOS · Entity 3510 | SaleCommon Stock | 5,258 | $94.26 | $495,619.08 |
DisclosureSEC source: 0001104659-21-061899 · tm2115239-1_4seq1.xml · nonDerivative · entry 4 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,489 F2 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F4 · price: This transaction was executed in multiple trades at prices ranging from $93.81 to $94.80. 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. F1 · balance_after: Includes 35,517 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| May 03, 2021 Filed May 6, 2021 00:30 UTC | GLAUKOS Corp GKOS · Entity 3510 | SaleCommon Stock | 13,992 | $93.18 | $1,303,774.56 |
DisclosureSEC source: 0001104659-21-061899 · tm2115239-1_4seq1.xml · nonDerivative · entry 3 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,747 F2 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. F3 · price: This transaction was executed in multiple trades at prices ranging from $92.78 to $93.74. 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. F1 · balance_after: Includes 35,517 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| May 03, 2021 Filed May 6, 2021 00:30 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionCommon Stock | 5,000 | $30.92 | $154,600.00 |
DisclosureSEC source: 0001104659-21-061899 · tm2115239-1_4seq1.xml · nonDerivative · entry 2 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,739 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 35,517 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| May 03, 2021 Filed May 6, 2021 00:30 UTC | GLAUKOS Corp GKOS · Entity 3510 | Exercise / conversionCommon Stock | 10,000 | $41.69 | $416,900.00 |
DisclosureSEC source: 0001104659-21-061899 · tm2115239-1_4seq1.xml · nonDerivative · entry 1 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,739 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 35,517 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| March 22, 2021 Filed Mar 23, 2021 00:48 UTC | GLAUKOS Corp GKOS · Entity 3510 | Tax withholdingCommon Stock | 562 | $89.22 | $50,141.64 |
DisclosureSEC source: 0001104659-21-039873 · tm2110536-2_4seq1.xml · nonDerivative · entry 2 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,739 F3 · shares: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on March 14, 2019. F4 · balance_after: Includes 35,517 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
| March 18, 2021 Filed Mar 23, 2021 00:48 UTC | GLAUKOS Corp GKOS · Entity 3510 | GrantStock Options (Right to Buy) · Derivative | 6,839 | $0.00 Strike: $39.10 | $0.00 |
DisclosureSEC source: 0001104659-21-039873 · tm2110536-2_4seq1.xml · derivative · entry 3 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,839 Underlying: Common Stock · 6,839 shares Expires 2030-03-12 F5 · shares: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 12, 2020, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") determined on March 18, 2021 the level of achievement for the first year of the multi-year performance period. The number of shares of common stock subject to the stock option as reported herein consists of the portion of the award that vested based upon the achievement with respect to the first-year performance goal. Read SEC document |
| March 18, 2021 Filed Mar 23, 2021 00:48 UTC | GLAUKOS Corp GKOS · Entity 3510 | GrantCommon Stock | 15,499 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-039873 · tm2110536-2_4seq1.xml · nonDerivative · entry 1 Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,301 F1 · shares: Granted by the Issuer in the form of restricted stock units which vest over a four-year period, with 25% to vest on each anniversary of the grant date. F2 · balance_after: Includes 36,606 restricted stock units that have not yet vested or been delivered to the Reporting Person. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.