SEC Form 4 · accession 0001510192-17-000040
GLAUKOS Corp · GKOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph E Gilliam
Officer — CFO, SVP Corporate Development
Period of report
May 5, 2017
Accepted (ET)
May 9, 2017 · 7:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001192448
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | May 5, 2017 | A | 100,000 | $0.00 | A | 100,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $41.69 | May 5, 2017 | A | 300,000 | A | — | May 5, 2027 | Common Stock | 300,000 | 300,000 | D |
Explanation of responses
- F1Granted 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.
- F2Consists of 100,000 restricted stock units that have not yet vested or been delivered to the Reporting Person.
- F3Granted pursuant to the Issuer's 2015 Omnibus Incentive Compensation Plan. Vests over a four-year period, with 25% to vest on the 1st anniversary of the grant date and 1/36th of the total remaining number to vest on the last day of each month thereafter.