Filing Details

Accession Number:
0001415889-23-014008
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-10-04 17:50:41
Reporting Period:
2023-10-02
Accepted Time:
2023-10-04 17:50:41
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
One Glaukos Way
Aliso Viejo CA 92656
Chairman & Ceo 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 2023-10-02 45,000 $7.28 99,785 No 4 M Direct
Common Stock Disposition 2023-10-02 14,726 $70.75 85,059 No 4 S Direct
Common Stock Disposition 2023-10-02 10,100 $71.54 74,959 No 4 S Direct
Common Stock Disposition 2023-10-02 11,963 $72.70 62,996 No 4 S Direct
Common Stock Disposition 2023-10-02 7,879 $73.67 55,117 No 4 S Direct
Common Stock Disposition 2023-10-02 332 $74.36 54,785 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S 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 2023-10-02 45,000 $0.00 45,000 $7.28
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
324,800 2024-07-10 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 893,932 Indirect Through the Burns Family Trust
Common Stock 238,107 Indirect Through the Burns Annuity Trust
Common Stock 120,000 Indirect Through the Burns Charitable Remainder Trust
Common Stock 100,000 Indirect Through the Thomas W. Burns Irrevocable Trust
Common Stock 100,000 Indirect Through the Janet M. Burns Irrevocable Trust
Footnotes
  1. This trade was made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices, with respect to stock options that expire in 2024.
  2. This transaction was executed in multiple trades at prices ranging from $70.14 to $71.13. 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 $71.15 to $71.87. 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 transaction was executed in multiple trades at prices ranging from $72.24 to $73.06. 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.
  5. This transaction was executed in multiple trades at prices ranging from $73.31 to $74.22. 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.
  6. This transaction was executed in multiple trades at prices ranging from $74.34 to $74.375. 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.
  7. Includes 47,177 restricted stock units that have not yet vested or been delivered to the Reporting Person.
  8. This option was granted on July 10, 2014 and had a four-year vesting schedule in which 25% vested on the first anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vested in full on the four-year anniversary of the grant date.