Glaukos Corp Files 8-K: Equity Sales & Financials
Ticker: GKOS · Form: 8-K · Filed: Jun 14, 2024 · CIK: 1192448
Sentiment: neutral
Topics: corporate-filing, equity-securities, financials
Related Tickers: GKOS
TL;DR
Glaukos filed an 8-K on 6/14 detailing equity sales and financials.
AI Summary
Glaukos Corporation filed an 8-K on June 14, 2024, reporting on unregistered sales of equity securities, other events, and financial statements/exhibits. The filing details the company's corporate information, including its incorporation in Delaware and principal executive offices in Aliso Viejo, California.
Why It Matters
This 8-K filing provides updates on Glaukos Corporation's corporate activities, including equity sales and financial reporting, which are important for investors to monitor company performance and compliance.
Risk Assessment
Risk Level: low — This filing is a routine corporate disclosure and does not appear to contain significant negative news or events.
Key Players & Entities
- GLAUKOS Corp (company) — Registrant
- June 14, 2024 (date) — Filing Date
- Delaware (jurisdiction) — State of Incorporation
- Aliso Viejo, California (location) — Principal Executive Offices
FAQ
What specific type of equity securities were sold unregistered?
The filing indicates 'Unregistered Sales of Equity Securities' as an item, but the specific details of the securities sold are not provided in this excerpt.
What are the 'Other Events' being reported by Glaukos?
The filing lists 'Other Events' as an item, but the specific nature of these events is not detailed in the provided text.
When was Glaukos Corporation incorporated?
Glaukos Corporation was incorporated in Delaware.
What is the principal business address of Glaukos Corporation?
The principal executive offices are located at One Glaukos Way, Aliso Viejo, California, 92656.
What is the Commission File Number for Glaukos Corporation?
The Commission File Number for Glaukos Corporation is 001-37463.
Filing Stats: 676 words · 3 min read · ~2 pages · Grade level 11.4 · Accepted 2024-06-14 07:10:13
Key Financial Figures
- $0.001 — f shares of the common stock, par value $0.001 per share, of Glaukos Corporation (the
- $230,000,000 — nditions, to repurchase an aggregate of $230,000,000 principal amount of the Company's 2.75%
Filing Documents
- gkos-20240614x8k.htm (8-K) — 42KB
- gkos-20240614xex99d1.htm (EX-99.1) — 13KB
- gkos-20240614xex99d1001.jpg (GRAPHIC) — 3KB
- 0001558370-24-009169.txt ( ) — 179KB
- gkos-20240614.xsd (EX-101.SCH) — 3KB
- gkos-20240614_lab.xml (EX-101.LAB) — 15KB
- gkos-20240614_pre.xml (EX-101.PRE) — 10KB
- gkos-20240614x8k_htm.xml (XML) — 5KB
02. Unregistered Sales of Equity Securities
Item 3.02. Unregistered Sales of Equity Securities. The disclosure under Item 8.01 below is incorporated by reference herein. The issuance of the Shares (as defined below) under the Exchange Agreements (as defined below) is being made in reliance on the exemption from the registration requirements of the Securities Act of 1933, as amended (the "Securities Act"), provided by Section 4(a)(2) of the Securities Act. A number of shares of the common stock, par value $0.001 per share, of Glaukos Corporation (the "Company") to be determined over an averaging period commencing on June 14, 2024 (the "Shares"), will be issued only to investors that qualified as "qualified institutional buyers" (as such term is defined in Rule 144A of the Securities Act) and institutional "accredited investors" (as such term is defined in Rule 501 of the Securities Act). The Shares have not been registered under the Securities Act or the securities laws of any state or other jurisdiction, and may not be offered or sold in the United States absent registration or an applicable exemption from the registration requirements of the Securities Act and such other jurisdictions.
01. Other Events
Item 8.01. Other Events. On June 14, 2024, the Company issued a press release announcing the execution of separate, privately negotiated exchange agreements (the " Exchange Agreements "), whereby the Company agreed, subject to customary closing conditions, to repurchase an aggregate of $230,000,000 principal amount of the Company's 2.75% Convertible Senior Notes due 2027 (the " Existing Convertible Notes ") for aggregate consideration consisting of the Shares, and cash in lieu of fractional shares and in respect of accrued interest on the Existing Convertible Notes. A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated by reference into this Item 8.01.
01. Financial Statements and Exhibits
Item 9.01. Financial Statements and Exhibits. (d) Exhibits . Exhibit No. Description 99.1 Press Release of Glaukos Corporation, dated June 14, 2024 104 Cover Page Interactive Data File (embedded within the Inline XBRL document) SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. GLAUKOS CORPORATION (Registrant) By: /s/ Alex R. Thurman Name: Alex R. Thurman Title: Senior Vice President & Chief Financial Officer Date: June 14, 2024