0001104659-19-052553.txt : 20191002 0001104659-19-052553.hdr.sgml : 20191002 20191002160256 ACCESSION NUMBER: 0001104659-19-052553 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191002 DATE AS OF CHANGE: 20191002 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gilliam Joseph E CENTRAL INDEX KEY: 0001705850 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 191132203 MAIL ADDRESS: STREET 1: C/O GLAUKOS CORPORATION STREET 2: 229 AVENIDA FABRICANTE CITY: SAN CLEMENTE STATE: CA ZIP: 92677 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GLAUKOS Corp CENTRAL INDEX KEY: 0001192448 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 229 AVENIDA FABRICANTE CITY: SAN CLEMENTE STATE: CA ZIP: 92672 BUSINESS PHONE: 949-367-9600 MAIL ADDRESS: STREET 1: 229 AVENIDA FABRICANTE CITY: SAN CLEMENTE STATE: CA ZIP: 92672 FORMER COMPANY: FORMER CONFORMED NAME: GLAUKOS CORP DATE OF NAME CHANGE: 20020925 4 1 a4.xml 4 X0306 4 2019-09-30 0 0001192448 GLAUKOS Corp GKOS 0001705850 Gilliam Joseph E C/O GLAUKOS CORPORATION, 229 AVENIDA FABRICANTE SAN CLEMENTE CA 92672 0 1 0 0 CFO, SVP Corporate Development Common Stock 2019-09-30 4 M 0 4631 30.92 A 52159 D Common Stock 2019-09-30 4 S 0 4631 59.75 D 47528 D Stock Options (Right to Buy) 30.92 2019-09-30 4 M 0 4631 0 D 2028-03-14 Common Stock 4631 37187 D Includes 37,853 restricted stock units that have not yet vested or been delivered to the Reporting Person. These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. These options vest over four years from the grant date, with 25% vesting on the first anniversary of the grant date and the remaining amount vesting in equal monthly installments over the following three years. /s/ Robert L. Davis, Attorney-in-Fact 2019-10-02