0001415889-23-011249.txt : 20230718 0001415889-23-011249.hdr.sgml : 20230718 20230718204243 ACCESSION NUMBER: 0001415889-23-011249 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230714 FILED AS OF DATE: 20230718 DATE AS OF CHANGE: 20230718 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Burns Thomas William CENTRAL INDEX KEY: 0001644557 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 231095419 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 form4-07192023_120740.xml X0508 4 2023-07-14 0001192448 GLAUKOS Corp GKOS 0001644557 Burns Thomas William C/O GLAUKOS CORPORATION ONE GLAUKOS WAY ALISO VIEJO CA 92656 true true false false CHAIRMAN & CEO 0 Common Stock 2023-07-14 4 M 0 30000 7.275 A 703963 D Common Stock 2023-07-14 4 S 0 3342 76.32 D 700621 D Common Stock 2023-07-14 4 S 0 11470 77.05 D 689151 D Common Stock 2023-07-14 4 S 0 3689 78.18 D 685462 D Common Stock 2023-07-14 4 S 0 9799 79.16 D 675663 D Common Stock 2023-07-14 4 S 0 1700 79.71 D 673963 D Stock Option (Right to Buy) 7.275 2023-07-14 4 M 0 30000 0 D 2024-07-10 Common Stock 30000 370000 D Includes 55,926 restricted stock units that have not yet vested or been delivered to the Reporting Person. This trade was made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices, with respect to stock options that expire in 2024. This transaction was executed in multiple trades at prices ranging from $75.60 to $76.595. 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 $76.605 to $77.60. 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 $77.610 to $78.56. 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 $78.61 to $79.605. 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 $79.61 to $79.815. 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 July 10, 2014 and had a four-year vesting schedule in which 25% vested on the first anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vested in full on the four-year anniversary of the grant date. Diana Scherer, Attorney-in-Fact 2023-07-18