0001562180-16-002653.txt : 20160616 0001562180-16-002653.hdr.sgml : 20160616 20160616171352 ACCESSION NUMBER: 0001562180-16-002653 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160615 FILED AS OF DATE: 20160616 DATE AS OF CHANGE: 20160616 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: 26051 MERIT CIRCLE STREET 2: SUITE 103 CITY: LAGUNA HILLS STATE: CA ZIP: 92653 BUSINESS PHONE: 949-367-9600 MAIL ADDRESS: STREET 1: 26051 MERIT CIRCLE, SUITE 103 CITY: LAGUNA HILLS STATE: CA ZIP: 92653 FORMER COMPANY: FORMER CONFORMED NAME: GLAUKOS CORP DATE OF NAME CHANGE: 20020925 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: 161718241 MAIL ADDRESS: STREET 1: C/O GLAUKOS CORPORATION STREET 2: 26051 MERIT CIRCLE, SUITE 103 CITY: LAGUNA HILLS STATE: CA ZIP: 92653 4 1 primarydocument.xml PRIMARY DOCUMENT X0306 4 2016-06-15 false 0001192448 GLAUKOS Corp GKOS 0001640771 Calcaterra Chris M. C/O GLAUKOS CORPORATION 20651 MERIT CIRCLE, SUITE 103 LAGUNA HILLS CA 92653 false true false false Chief Commercial Officer Common Stock 2016-06-15 4 M false 33600.00 4.225 A 273600.00 D Common Stock 2016-06-15 4 M false 11864.00 7.275 A 285464.00 D Common Stock 2016-06-15 4 S false 45464.00 28.46 D 240000.00 D Stock Options (Right to buy) 7.275 2016-06-15 4 M false 11864.00 0.00 D 2024-07-10 Common Stock 11864.00 98136.00 D Stock Options (Right to buy) 4.225 2016-06-15 4 M false 33600.00 0.00 D 2023-01-29 Common Stock 33600.00 18400.00 D 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 $28.00 to $28.67. 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, which represented the right to purchase a total of 110,000 shares, has a two-year vesting schedule in which 75% vested on July 10, 2015, the first anniversary of the grant date, and the remainder vests equally for 12 months thereafter, such that the stock option will vest in full on July 31, 2016, the second anniversary of the grant date. This option, which represented the right to purchase a total of 52,000 shares, has a four-year vesting schedule in which 25% vested on January 29, 2014, the first anniversary of the grant date, and the remainder vests equally for 36 months thereafter, such that the stock option will vest in full on July 31, 2017, the fourth anniversary of the grant date. /s/ Richard L. Harrison, Attorney-in-Fact 2016-06-15