0001127602-21-003721.txt : 20210203 0001127602-21-003721.hdr.sgml : 20210203 20210203164404 ACCESSION NUMBER: 0001127602-21-003721 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210201 FILED AS OF DATE: 20210203 DATE AS OF CHANGE: 20210203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Calcaterra Chris M. CENTRAL INDEX KEY: 0001640771 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 21586765 MAIL ADDRESS: STREET 1: C/O GLAUKOS CORPORATION STREET 2: 26051 MERIT CIRCLE, SUITE 103 CITY: LAGUNA HILLS STATE: CA ZIP: 92653 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 form4.xml PRIMARY DOCUMENT X0306 4 2021-02-01 0001192448 GLAUKOS Corp GKOS 0001640771 Calcaterra Chris M. C/O GLAUKOS CORPORATION 229 AVENIDA FABRICANTE SAN CLEMENTE CA 92672 1 Chief Operating Officer Common Stock 2021-02-01 4 M 0 60417 16.49 A 224223 D Common Stock 2021-02-01 4 S 0 13201 86.6477 D 211022 D Common Stock 2021-02-01 4 S 0 6030 87.7853 D 204992 D Common Stock 2021-02-01 4 S 0 24401 88.7377 D 180591 D Common Stock 2021-02-01 4 S 0 16785 89.4434 D 163806 D Stock Options (Right to Buy) 16.49 2021-02-01 4 M 0 60417 0 D 2026-03-10 Common Stock 60417 0 D These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. Includes 5,967 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 $86.22 to $87.19. 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 $87.235 to $88.22. 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 $88.23 to $89.22. 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 $89.23 to $89.97. 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 option was granted on March 10, 2016, and has a four-year vesting schedule in which 25% vests on the first year anniversary date of the grant and the remainder vests in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date. /s/ Diana Scherer, Attorney-in-Fact 2021-02-03