SEC Form 4 · accession 0001562180-18-003073

GLAUKOS Corp · GKOS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Chris M. Calcaterra

Officer — Chief Operating Officer

Period of report

Jun 19, 2018

Accepted (ET)

Jun 21, 2018 · 4:07 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
Common Stock	Jun 19, 2018	M	7,759	$4.225	A	247,759	D
Common Stock^F2	Jun 19, 2018	S	7,759	$44.01	D	240,000	D
Common Stock	Jun 20, 2018	M	1,870	$4.225	A	241,870	D
Common Stock	Jun 20, 2018	M	600	$16.49	A	242,470	D
Common Stock^F3	Jun 20, 2018	S	2,470	$44.03	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	$4.225	Jun 19, 2018	M	7,759	D	—	Jan 29, 2023	Common Stock	7,759	1,870	D
Stock Option (Right to buy)^F4	$4.225	Jun 20, 2018	M	1,870	D	—	Jan 29, 2023	Common Stock	1,870	0	D
Stock Options (Right to buy)^F5	$16.49	Jun 20, 2018	M	600	D	—	Mar 10, 2026	Common Stock	600	99,400	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 $44.00 to $44.04. 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 $44.00 to $44.10. 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 was granted on January 29, 2013, and had a four-year vesting schedule in which 25% vested on the first year anniversary date of the grant and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vested in full on the four-year anniversary of the grant date.
F5This option was granted on March 10, 2016, and has a four-year vesting schedule in which 25% vests on the first year anniversary date of the grant and the remainder vests in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.