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GLAUKOS Corp — Director's Dealing 2015
Jun 24, 2015
31074_dirs_2015-06-24_441a5681-bad3-4c4a-8f61-afbac8726e6d.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: GLAUKOS Corp (GKOS)
CIK: 0001192448
Period of Report: 2015-06-24
Reporting Person: HARRISON RICHARD L (Treasurer, CFO & Secretary)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 206000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series D Convertible Preferred Stock | $ | Common Stock (3268) | Direct | ||
| Stock Option (right to buy) | $3.975 | 2021-01-27 | Common Stock (48000) | Direct | |
| Stock Option (right to buy) | $4.225 | 2023-01-29 | Common Stock (18000) | Direct | |
| Stock Option (right to buy) | $7.275 | 2024-07-10 | Common Stock (44000) | Direct |
Footnotes
F1: The shares of Series D Convertible Preferred Stock shall automatically convert into shares of common stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and have no expiration date.
F2: Granted 1/27/2011 pursuant to the Issuer's 2001 Stock Option Plan and subject to an early exercise provision such that it is immediately exercisable. Shares subject to the option vest as follows: 25% vest on the 1st anniversary of the grant date, with 1/36 of the remaining shares vesting on the last day of each month thereafter over such that it is vested in full on the last day of the month of the four-year anniversary of the grant date.
F3: Granted 1/29/2013 pursuant to the Issuer's 2011 Stock Option Plan and subject to an early exercise provision such that it is immediately exercisable. Shares subject to the option vest as follows: 25% vest on the 1st anniversary of the vesting commencement date, with 1/36 of the remaining shares vesting on the last day of each month thereafter such that it is vested in full the last day of the month of the four-year anniversary of the grant date.
F4: Granted 07/10/2014 pursuant to the Issuer's 2011 Stock Plan and subject to one-year cliff vesting with respect to 25% of the award, with the remainder then vesting equally over the next 36 months such that it is vested in full on the four-year anniversary of the grant date.