Home > Insider Trading > Filing (0001562180-18-003535)

Filing Details

Accession Number:: 0001562180-18-003535
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-08-08 19:13:50
Reporting Period:: 2018-08-06

Accepted Time:: 2018-08-08 19:13:50
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 229 Avenida Fabricante San Clemente CA 92672	Chief Executive Officer	No	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2018-08-06	98,885	$1.93	376,125	No	4	M	Indirect	Through the Burns Family Trust
Common Stock	Disposition	2018-08-06	19,445	$37.20	356,680	No	4	S	Indirect	Through the Burns Family Trust
Common Stock	Disposition	2018-08-06	45,449	$38.32	311,231	No	4	S	Indirect	Through the Burns Family Trust
Common Stock	Disposition	2018-08-06	33,991	$39.22	277,240	No	4	S	Indirect	Through the Burns Family Trust
Common Stock	Acquisiton	2018-08-07	21,755	$1.93	298,995	No	4	M	Indirect	Through the Burns Family Trust
Common Stock	Acquisiton	2018-08-07	10,320	$3.98	309,315	No	4	M	Indirect	Through the Burns Family Trust
Common Stock	Acquisiton	2018-08-07	19,040	$1.05	328,355	No	4	M	Indirect	Through the Burns Family Trust
Common Stock	Disposition	2018-08-07	39,099	$39.27	289,256	No	4	S	Indirect	Through the Burns Family Trust
Common Stock	Disposition	2018-08-07	12,016	$40.25	277,240	No	4	S	Indirect	Through the Burns Family Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Indirect	Through the Burns Family Trust
No	4	S	Indirect	Through the Burns Family Trust
No	4	S	Indirect	Through the Burns Family Trust
No	4	S	Indirect	Through the Burns Family Trust
No	4	M	Indirect	Through the Burns Family Trust
No	4	M	Indirect	Through the Burns Family Trust
No	4	M	Indirect	Through the Burns Family Trust
No	4	S	Indirect	Through the Burns Family Trust
No	4	S	Indirect	Through the Burns Family Trust

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (Right to Buy)	Disposition	2018-08-06	98,885	$0.00	98,885	$1.93
Common Stock	Stock Option (Right to Buy)	Disposition	2018-08-07	10,320	$0.00	10,320	$3.98
Common Stock	Stock Option (Right to Buy)	Disposition	2018-08-07	21,755	$0.00	21,755	$1.93
Common Stock	Stock Option (Right to Buy)	Disposition	2018-08-07	19,040	$0.00	19,040	$1.05

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
21,755	2020-01-26	No	4	M	Direct
317,680	2021-01-27	No	4	M	Direct
0	2020-01-26	No	4	M	Direct
0	2020-04-22	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
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 Janet M. Burns Irrevocable Trust
Common Stock	100,000	Indirect	Through the Thomas W. Burns Irrevocable 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 $36.94 to $37.89. 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 $37.94 to $38.93 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 $38.95 to $39.75. 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 $39.00 to $39.99. 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 $40.00 to $40.54. 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 was granted on January 26, 2010, has a four-year vesting schedule in which 25% vested on the first year anniversary date of the grant and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.
This option was granted on January 27, 2011, has a four-year vesting schedule in which 25% vested on the first year anniversary date of the grant and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.
This option was granted on April 22, 2010, has a four-year vesting schedule in which 25% vested on the first year anniversary date of the grant and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.