Filing Details
- Accession Number:
- 0001104659-20-132117
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-12-03 20:39:11
- Reporting Period:
- 2020-12-01
- Accepted Time:
- 2020-12-03 20:39:11
- 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 |
|---|---|---|---|---|---|---|---|
| 1228684 | Phd J William Link | C/O Glaukos Corporation 229 Avenida Fabricante San Clemente CA 92672 | Yes | 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 | 2020-12-01 | 10,000 | $7.28 | 25,439 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-12-01 | 25,000 | $32.00 | 50,439 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-12-01 | 15,000 | $24.69 | 65,439 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-12-01 | 49,400 | $67.96 | 16,039 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-12-01 | 600 | $68.72 | 15,439 | 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 Option (Right to Buy) | Disposition | 2020-12-01 | 10,000 | $0.00 | 10,000 | $7.28 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-12-01 | 25,000 | $0.00 | 25,000 | $32.00 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-12-01 | 15,000 | $0.00 | 15,000 | $24.69 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2024-07-10 | No | 4 | M | Direct | |
| 0 | 2025-07-23 | No | 4 | M | Direct | |
| 0 | 2026-06-02 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 40,479 | Indirect | See footnote |
Footnotes
- Includes 6,013 restricted stock units that have not yet vested or been delivered to the Reporting Person.
- This transaction was executed in multiple trades at prices ranging from $67.68 to $68.675. 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 $68.68 to $68.785. 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.
- The shares are held by The Link Family Trust (the "Link Trust") for the benefit of William J. Link. William J. Link is a trustee of the Link Trust. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his proportionate pecuniary interest therein.
- Granted July 10, 2014 pursuant to the Issuer's 2011 Stock Plan. Vests annually over a three-year period such that it is vested in full on the three-year anniversary of the grant date.
- Granted on July 23, 2015 pursuant to the Issuer's 2015 Stock Plan. Vests annually over a three-year period such that it is vested in full on the three-year anniversary of the grant date.
- Granted June 2, 2016 pursuant to the Issuer's 2015 Omnibus Incentive Compensation Plan. Vests in full on the one-year anniversary of the grant date.
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