Filing Details

Accession Number:
0001127602-20-017842
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-05-22 19:23:48
Reporting Period:
2020-05-20
Accepted Time:
2020-05-22 19:23:48
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1192448 Glaukos Corp GKOS Surgical & Medical Instruments & Apparatus (3841) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1644557 William Thomas Burns C/O Glaukos Corporation
229 Avenida Fabricante
San Clemente CA 92672
Chief Executive Officer Yes Yes 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 2020-05-20 200 $3.98 306,089 No 4 M Direct
Common Stock Acquisiton 2020-05-20 200 $3.98 306,289 No 4 M Direct
Common Stock Disposition 2020-05-20 400 $38.05 305,889 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M 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 2020-05-20 200 $0.00 200 $3.98
Common Stock Stock Option (Right to Buy) Disposition 2020-05-20 200 $0.00 200 $3.98
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
138,600 2021-01-27 No 4 M Direct
68,847 2021-04-28 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 238,107 Indirect Through the Burns Annuity Trust
Common Stock 120,000 Indirect Through the Burns Charitable Remainder Trust
Common Stock 277,847 Indirect Through the Burns Family Trust
Common Stock 100,000 Indirect Through the Janet M. Burns Irrevocable Trust
Common Stock 100,000 Indirect Through the Thomas W. Burns Irrevocable Trust
Footnotes
  1. Includes 44,614 restricted stock units that have not yet vested or been delivered to the Reporting Person.
  2. These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.
  3. This transaction was executed in multiple trades at prices ranging from $38.01 to $38.09. 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 was granted on January 27, 2011 and 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.
  5. This option was granted on April 28, 2011 and 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.