Filing Details

Accession Number:
0001562180-17-000238
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-01-13 17:04:26
Reporting Period:
2017-01-12
Filing Date:
2017-01-13
Accepted Time:
2017-01-13 17:04:26
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1192448 Glaukos Corp GKOS () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1186724 L Richard Harrison C/O Glaukos Corporation
229 Avenida Fabricante
San Clemente CA 92672
Cfo & Treasurer No No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2017-01-12 14,321 $7.28 15,709 No 4 M Direct
Common Stock Disposition 2017-01-12 14,321 $40.00 1,388 No 4 S Direct
Common Stock Acquisiton 2017-01-13 6,313 $7.28 7,701 No 4 M Direct
Common Stock Disposition 2017-01-13 6,313 $40.01 1,388 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (right to buy) Disposition 2017-01-12 14,321 $0.00 14,321 $7.28
Common Stock Stock Option (right to buy) Disposition 2017-01-13 6,313 $0.00 6,313 $7.28
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
26,813 2024-07-10 No 4 M Direct
20,500 2024-07-10 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 206,000 Indirect Through the Harrison Family Trust
Footnotes
  1. These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.
  2. This 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.
  3. This 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.
  4. This 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.