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