Filing Details
- Accession Number:
- 0001562180-17-000222
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-01-11 16:30:59
- Reporting Period:
- 2017-01-09
- Filing Date:
- 2017-01-11
- Accepted Time:
- 2017-01-11 16:30:59
- 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 229 Avenida Fabricante San Clemente CA 92672 | 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 | 2017-01-09 | 20,000 | $7.28 | 260,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-01-09 | 20,000 | $38.02 | 240,000 | 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 | 2017-01-09 | 20,000 | $0.00 | 20,000 | $7.28 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 18,136 | 2024-07-10 | No | 4 | M | Direct |
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 $38.00 to $38.11. 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, 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 vested equally for 12 months thereafter, such that the stock option vested in full on July 31, 2016, the second anniversary of the grant date.
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