0001104659-21-061899.txt : 20210505 0001104659-21-061899.hdr.sgml : 20210505 20210505203052 ACCESSION NUMBER: 0001104659-21-061899 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210503 FILED AS OF DATE: 20210505 DATE AS OF CHANGE: 20210505 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: 21895293 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 tm2115239-1_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-05-03 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 2021-05-03 4 M 0 10000 41.69 A 67739 D Common Stock 2021-05-03 4 M 0 5000 30.92 A 72739 D Common Stock 2021-05-03 4 S 0 13992 93.18 D 58747 D Common Stock 2021-05-03 4 S 0 5258 94.26 D 53489 D Common Stock 2021-05-03 4 S 0 750 95.02 D 52739 D Stock Options (Right to Buy) 41.69 2021-05-03 4 M 0 10000 0 D 2027-05-05 Common Stock 10000 139343 D Stock Options (Right to Buy) 30.92 2021-05-03 4 M 0 5000 0 D 2028-03-14 Common Stock 5000 28437 D Includes 35,517 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. This transaction was executed in multiple trades at prices ranging from $92.78 to $93.74. 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 $93.81 to $94.80. 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 $94.93 to $95.10. 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. 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/ Diana Scherer, Attorney-in-Fact 2021-05-05