SEC Form 4 · accession 0001562180-16-003252
GLAUKOS Corp · GKOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chris M. Calcaterra
Officer — Chief Commercial Officer
Period of report
Oct 20, 2016
Accepted (ET)
Oct 20, 2016 · 6:37 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 | Oct 20, 2016 | M | 40,000 | $7.275 | A | 280,000 | D | |
| Common StockF2 | Oct 20, 2016 | S | 37,000 | $34.81 | D | 243,000 | D | |
| Common StockF3 | Oct 20, 2016 | S | 3,000 | $34.20 | D | 240,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to buy)F4 | $7.275 | Oct 20, 2016 | M | 40,000 | D | — | Jul 10, 2024 | Common Stock | 40,000 | 58,136 | 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 $34.33 to $35.32. 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 $34.06 to $34.32. 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, which represented the right to purchase a total of 110,000 shares, has a two-year vesting schedule in which 75% vested on July 10, 2015, the first anniversary of the grant date, and the remainder vests equally for 12 months thereafter, such that the stock option will vest in full on July 31, 2016, the second anniversary of the grant date.