Filing Details

Accession Number:
0001562180-16-002653
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-06-16 17:13:52
Reporting Period:
2016-06-15
Filing Date:
2016-06-16
Accepted Time:
2016-06-16 17:13:52
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
1640771 M. Chris Calcaterra C/O Glaukos Corporation
20651 Merit Circle, Suite 103
Laguna Hills CA 92653
Chief Commercial Officer 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 2016-06-15 33,600 $4.23 273,600 No 4 M Direct
Common Stock Acquisiton 2016-06-15 11,864 $7.28 285,464 No 4 M Direct
Common Stock Disposition 2016-06-15 45,464 $28.46 240,000 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 Options (Right to buy) Disposition 2016-06-15 11,864 $0.00 11,864 $7.28
Common Stock Stock Options (Right to buy) Disposition 2016-06-15 33,600 $0.00 33,600 $4.23
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
98,136 2024-07-10 No 4 M Direct
18,400 2023-01-29 No 4 M Direct
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 $28.00 to $28.67. 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 option, which represented the right to purchase a total of 110,000 shares, has a two-year vesting schedule in which 75% vested on July 10, 2015, the first anniversary of the grant date, and the remainder vests equally for 12 months thereafter, such that the stock option will vest in full on July 31, 2016, the second anniversary of the grant date.
  4. This option, which represented the right to purchase a total of 52,000 shares, has a four-year vesting schedule in which 25% vested on January 29, 2014, the first anniversary of the grant date, and the remainder vests equally for 36 months thereafter, such that the stock option will vest in full on July 31, 2017, the fourth anniversary of the grant date.