SEC Form 4 · accession 0001562180-17-000238
GLAUKOS Corp · GKOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard L Harrison
Officer — CFO & Treasurer
Period of report
Jan 12, 2017
Accepted (ET)
Jan 13, 2017 · 5:04 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 Stock | Jan 12, 2017 | M | 14,321 | $7.275 | A | 15,709 | D | |
| Common StockF2 | Jan 12, 2017 | S | 14,321 | $40.00 | D | 1,388 | D | |
| Common Stock | Jan 13, 2017 | M | 6,313 | $7.275 | A | 7,701 | D | |
| Common StockF3 | Jan 13, 2017 | S | 6,313 | $40.01 | 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 Option (right to buy)F4 | $7.275 | Jan 12, 2017 | M | 14,321 | D | — | Jul 10, 2024 | Common Stock | 14,321 | 26,813 | D |
| Stock Option (right to buy)F4 | $7.275 | Jan 13, 2017 | M | 6,313 | D | — | Jul 10, 2024 | Common Stock | 6,313 | 20,500 | 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 $40.00 to $40.03. 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 $40.00 to $40.15. 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% vests on the first year anniversary date of the grant and the remainder vests equally for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.