SEC Form 4 · accession 0001562180-18-004576
GLAUKOS Corp · GKOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William J Link Ph.D.
Director
Period of report
Nov 13, 2018
Accepted (ET)
Nov 15, 2018 · 6:28 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 StockF1,F2 | Nov 13, 2018 | S | 14,475 | $58.01 | D | 76,004 | I | see footnote |
| Common StockF2 | Nov 14, 2018 | G | 8,500 | $0.00 | D | 67,504 | I | see footnote |
| Common StockF3,F2 | Nov 15, 2018 | S | 25,725 | $57.37 | D | 41,779 | I | see footnote |
| Common StockF4,F2 | Nov 15, 2018 | S | 1,300 | $58.18 | D | 40,479 | I | see footnote |
| Common StockF5,F6 | holding | — | — | — | 4,633 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $58.00 to $58.045. 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.
- F2The shares are held by The Link Family Trust (the "Link Trust") for the benefit of William J. Link. William J. Link is a trustee of the Link Trust. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his proportionate pecuniary interest therein.
- F3This transaction was executed in multiple trades at prices ranging from $57.00 to $57.98. 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 $58.10 to $58.37. 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.
- F5Granted by the Issuer in the form of restricted stock units that vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.
- F6Consists of 4,633 restricted stock units that have not yet vested or been delivered to the Reporting Person.