SEC Form 4 · accession 0001562180-18-003535

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

Aug 6, 2018

Accepted (ET)

Aug 8, 2018 · 7:13 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	Aug 6, 2018	M	98,885	$1.925	A	376,125	I	Through the Burns Family Trust
Common Stock^F2	Aug 6, 2018	S	19,445	$37.20	D	356,680	I	Through the Burns Family Trust
Common Stock^F3	Aug 6, 2018	S	45,449	$38.32	D	311,231	I	Through the Burns Family Trust
Common Stock^F4	Aug 6, 2018	S	33,991	$39.22	D	277,240	I	Through the Burns Family Trust
Common Stock	Aug 7, 2018	M	21,755	$1.925	A	298,995	I	Through the Burns Family Trust
Common Stock	Aug 7, 2018	M	10,320	$3.975	A	309,315	I	Through the Burns Family Trust
Common Stock	Aug 7, 2018	M	19,040	$1.05	A	328,355	I	Through the Burns Family Trust
Common Stock^F5	Aug 7, 2018	S	39,099	$39.27	D	289,256	I	Through the Burns Family Trust
Common Stock^F6	Aug 7, 2018	S	12,016	$40.25	D	277,240	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

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F7	$1.925	Aug 6, 2018	M	98,885	D	—	Jan 26, 2020	Common Stock	98,885	21,755	D
Stock Option (Right to Buy)^F8	$3.975	Aug 7, 2018	M	10,320	D	—	Jan 27, 2021	Common Stock	10,320	317,680	D
Stock Option (Right to Buy)^F7	$1.925	Aug 7, 2018	M	21,755	D	—	Jan 26, 2020	Common Stock	21,755	0	D
Stock Option (Right to Buy)^F9	$1.05	Aug 7, 2018	M	19,040	D	—	Apr 22, 2020	Common Stock	19,040	0	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 $36.94 to $37.89. 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 $37.94 to $38.93 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 transaction was executed in multiple trades at prices ranging from $38.95 to $39.75. 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.
F5This transaction was executed in multiple trades at prices ranging from $39.00 to $39.99. 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.
F6This transaction was executed in multiple trades at prices ranging from $40.00 to $40.54. 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.
F7This option was granted on January 26, 2010, has 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 vests in full on the four-year anniversary of the grant date.
F8This option was granted on January 27, 2011, has 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 vests in full on the four-year anniversary of the grant date.
F9This option was granted on April 22, 2010, has 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 vests in full on the four-year anniversary of the grant date.