0001104659-20-138176.txt : 20201221
0001104659-20-138176.hdr.sgml : 20201221
20201221185356
ACCESSION NUMBER: 0001104659-20-138176
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201217
FILED AS OF DATE: 20201221
DATE AS OF CHANGE: 20201221
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: 201405643
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
2020-12-17
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
2020-12-17
4
A
0
1164
72.99
A
44871
D
Common Stock
2020-12-17
4
J
0
2069
0
D
42802
D
Granted by the Issuer in the form of restricted stock units which vest over a three-year period, with one-third to vest on each anniversary of the grant date.
Includes 21,220 restricted stock units that have not yet vested or been delivered to the Reporting Person.
In order to comply with the terms of a domestic relations order ("DRO") in connection with a marital dissolution, the Reporting Person's former spouse now holds the economic interest, and the Reporting Person no longer has any pecuniary interest, in the following securities: (i) 1,956 shares of common stock of the Issuer and (2) 113 restricted stock units that have not yet vested or been delivered to the Reporting Person, which were reported above as directly owned by the Reporting Person. While the Reporting Person retains possession of the common stock and restricted stock units until they are sold in connection with the DRO, the Reporting Person's former spouse will receive the economic benefits from, and the Reporting Person will have no discretion with respect to, such securities. (Continued in footnote 4)
Accordingly, the Reporting Person will not report beneficial ownership or dispositions of these securities (including restricted stock units) in future Section 16(a) reports, including to the extent such securities are sold pursuant to a Rule 10b5-1 trading plan that may be adopted by the Reporting Person that includes these securities. Likewise, the number of shares of common stock of the Issuer that may be reported as withheld to satisfy tax obligations in Table 1 will not include the shares withheld with respect to the portion of the restricted stock units representing the former spouse's economic interest.
Includes 21,107 restricted stock units that have not yet vested or been delivered to the Reporting Person.
/s/ Diana Scherer, Attorney-in-Fact
2020-12-21