SEC Form 4 · accession 0001562180-17-000223
GLAUKOS Corp · GKOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas William Burns
Officer — Chief Executive Officer · Director
Period of report
Jan 9, 2017
Accepted (ET)
Jan 11, 2017 · 4:31 pm EST
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 StockF2,F3 | Jan 9, 2017 | S | 40,000 | $37.60 | A | 260,240 | I | Through the Burns Family Trust |
| Common Stock | holding | — | — | — | 238,107 | I | Through the Burns Annuity Trust | |
| Common Stock | holding | — | — | — | 120,000 | I | Through the Burns Charitable Remainder Trust | |
| Common Stock | holding | — | — | — | 100,000 | I | Through the Janet M. Burns Irrevocable Trust | |
| Common Stock | holding | — | — | — | 100,000 | I | Through the Thomas W. Burns Irrevocable Trust |
Table II — derivative securities
No Table II lines on this filing.
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 $37.50 to $37.83. 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.
- F3Includes 852 shares acquired under the Company's Employee Stock Purchase Plan in December 2016.