Filing Details
- Accession Number:
- 0001562180-17-000206
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-01-09 16:00:56
- Reporting Period:
- 2017-01-06
- Filing Date:
- 2017-01-09
- Accepted Time:
- 2017-01-09 16:00:56
- 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 229 Avenida Fabricante San Clemente CA 92672 | Cfo & Treasurer | 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 | 2017-01-06 | 1,268 | $3.98 | 2,656 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-01-06 | 16,500 | $4.23 | 19,156 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-01-06 | 2,866 | $7.28 | 22,022 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-01-06 | 20,574 | $35.58 | 1,448 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-01-06 | 60 | $36.01 | 1,388 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | 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 Options (Right to buy) | Disposition | 2017-01-06 | 1,268 | $0.00 | 1,268 | $3.98 |
| Common Stock | Stock Option (right to buy) | Disposition | 2017-01-06 | 16,500 | $0.00 | 16,500 | $4.23 |
| Common Stock | Stock Option (right to buy) | Disposition | 2017-01-06 | 2,866 | $0.00 | 2,866 | $7.28 |
| 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 | |
| 1,500 | 2023-01-29 | No | 4 | M | Direct | |
| 41,134 | 2024-07-10 | 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 $35.00 to $35.98. 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 $36.00 to $36.06. 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.
- This option has a four-year vesting schedule in which 25% vests on the first year anniversary date of the grant and the remainder vests equally for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.
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