Filing Details
- Accession Number:
- 0001562180-16-002673
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-06-21 16:24:36
- Reporting Period:
- 2016-06-20
- Filing Date:
- 2016-06-21
- Accepted Time:
- 2016-06-21 16:24:36
- 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 20651 Merit Circle, Suite 103 Laguna Hills CA 92653 | Treasurer, Cfo & Secretary | 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 | 2016-06-20 | 4,300 | $3.98 | 5,688 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-06-20 | 4,300 | $30.00 | 1,388 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2016-06-20 | 4,300 | $0.00 | 4,300 | $3.98 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 16,968 | 2021-01-27 | 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
- These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.
- This transaction was executed in multiple trades at prices ranging from $30.00 to $30.01. 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 has a four-year vesting schedule in which 25% will vest on the first year anniversary date of the grant and then will vest equally for 36 months thereafter, such that the stock option is vested in full on the four-year anniversary of the grant date
Billionaire Hedge Funds
