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Filing Details

Accession Number:: 0001127602-20-018017
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-05-27 20:10:55
Reporting Period:: 2020-05-26

Accepted Time:: 2020-05-27 20:10:55
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2020-05-26	138,600	$3.98	444,489	No	4	M	Direct
Common Stock	Acquisiton	2020-05-26	68,847	$3.98	513,336	No	4	M	Direct
Common Stock	Disposition	2020-05-26	193,989	$39.19	319,347	No	4	S	Direct
Common Stock	Disposition	2020-05-26	13,458	$39.72	305,889	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (Right to Buy)	Disposition	2020-05-26	138,600	$0.00	138,600	$3.98
Common Stock	Stock Option (Right to Buy)	Disposition	2020-05-26	68,847	$0.00	68,847	$3.98

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2021-01-27	No	4	M	Direct
0		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

These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.
Includes 44,614 restricted stock units that have not yet vested or been delivered to the Reporting Person.
This transaction was executed in multiple trades at prices ranging from $38.60 to $39.59. 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.
This transaction was executed in multiple trades at prices ranging from $39.60 to $39.83. 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.
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.
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.