0001562180-17-000237.txt : 20170113 0001562180-17-000237.hdr.sgml : 20170113 20170113170413 ACCESSION NUMBER: 0001562180-17-000237 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170112 FILED AS OF DATE: 20170113 DATE AS OF CHANGE: 20170113 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 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: 17528521 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 2017-01-12 false 0001192448 GLAUKOS Corp GKOS 0001640771 Calcaterra Chris M. C/O GLAUKOS CORPORATION 229 AVENIDA FABRICANTE SAN CLEMENTE CA 92672 false true false false Chief Commercial Officer Common Stock 2017-01-12 4 M false 14413.00 7.275 A 254413.00 D Common Stock 2017-01-12 4 S false 14413.00 40.00 D 240000.00 D Common Stock 2017-01-13 4 M false 3723.00 7.275 A 243723.00 D Common Stock 2017-01-13 4 S false 3723.00 40.03 D 240000.00 D Stock Options (Right to buy) 7.275 2017-01-12 4 M false 14413.00 0.00 D 2024-07-10 Common Stock 14413.00 3723.00 D Stock Options (Right to buy) 7.275 2017-01-13 4 M false 3723.00 0.00 D 2024-07-10 Common Stock 3723.00 0.00 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 $40.00 to $40.03. 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 $40.00 to $40.245. 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 vested equally for 12 months thereafter, such that the stock option vested in full on July 31, 2016, the second anniversary of the grant date. /s/ Richard L. Harrison, Attorney-in-Fact 2017-01-17