SEC Form 4 · accession 0001562180-16-002208
GLAUKOS Corp · GKOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard L Harrison
Officer — Treasurer, CFO & Secretary
Period of report
May 3, 2016
Accepted (ET)
May 5, 2016 · 4:01 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 Stock | May 3, 2016 | S | 1,100 | $20.00 | D | 3,556 | D | |
| Common StockF2 | May 4, 2016 | S | 2,031 | $24.80 | D | 1,525 | D | |
| Common StockF3 | May 4, 2016 | S | 137 | $24.20 | D | 1,388 | D | |
| Common Stock | May 4, 2016 | M | 26,732 | $3.975 | A | 28,120 | D | |
| Common StockF2 | May 4, 2016 | S | 25,069 | $24.80 | D | 3,051 | D | |
| Common StockF3 | May 4, 2016 | S | 1,663 | $24.20 | D | 1,388 | D | |
| Common Stock | holding | — | — | — | 206,000 | I | Through the Harrison Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to buy)F4 | $3.975 | May 4, 2016 | M | 26,732 | D | — | Jan 27, 2021 | Common Stock | 26,732 | 21,268 | D |
Explanation of responses
- F1These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.
- F2This transaction was executed in multiple trades at prices ranging from $24.28 to $25.28. 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.
- F3This transaction was executed in multiple trades at prices ranging from $24.02 to $24.275. 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.
- F4This option has a four-year vesting schedule in which 25% will vest on the first year anniversary date of the grant and then will vest equally for 36 months thereafter, such that the stock option is vested in full on the four-year anniversary of the grant date