GLAUKOS Corp — Director's Dealing 2015

Jun 24, 2015

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: GLAUKOS Corp (GKOS)
CIK: 0001192448
Period of Report: 2015-06-24

Reporting Person: Burns Thomas William (Director, Chief Executive Officer, 10% Owner)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	238107	Indirect
Common Stock	120000	Indirect
Common Stock	341892	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series B Convertible Preferred Stock	$		Common Stock (200000)		Indirect
Series B Convertible Preferred Stock	$		Common Stock (100000)		Indirect
Series B Convertible Preferred Stock	$		Common Stock (100000)		Indirect
Series D Convertible Preferred Stock	$		Common Stock (65359)		Indirect
Stock option (right to buy)	$1.25	2018-01-29	Common Stock (100000)		Direct
Stock option (right to buy)	$1.65	2018-10-21	Common Stock (170640)		Direct
Stock option (right to buy)	$1.925	2019-04-14	Common Stock (19480)		Direct
Stock option (right to buy)	$1.925	2020-01-26	Common Stock (170640)		Direct
Stock option (right to buy)	$1.05	2020-04-22	Common Stock (19040)		Direct
Stock option (right to buy)	$3.975	2021-01-27	Common Stock (328000)		Direct
Stock option (right to buy)	$3.975	2021-04-28	Common Stock (69047)		Direct
Stock option (right to buy)	$3.70	2022-07-13	Common Stock (3583)		Direct
Stock option (right to buy)	$4.225	2023-01-29	Common Stock (256000)		Direct
Stock option (right to buy)	$4.225	2023-04-25	Common Stock (10880)		Direct
Stock option (right to buy)	$7.275	2024-07-10	Common Stock (540000)		Direct

Footnotes

F1: The shares of Series B Convertible Preferred Stock and 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 1/29/2008 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 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 on the last day of the month of the four-year anniversary of the grant date.

F3: Granted 10/21/2008 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 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 on the last day of the month of the four-year anniversary of the grant date.

F4: Granted 4/14/2009 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 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.

F5: Granted 1/26/2010 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 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.

F6: Granted 4/22/2010 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 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 on the last day of the month of the four-year anniversary of the grant date.

F7: 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 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 on the last day of the month of the four-year anniversary of the grant date.

F8: Granted 4/28/2011 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 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 on the last day of the month of the four-year anniversary of the grant date.

F9: Granted 7/13/2012 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 on the last day of the month of the four-year anniversary of the grant date.

F10: 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 on the last day of the month of the four-year anniversary of the grant date.

F11: Granted 4/25/2013 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 on the last day of the month of the four-year anniversary of the grant date.

F12: Granted 07/10/14 pursuant to the Issuer's 2011 Stock Plan on and vests in full on the one-year anniversary of the grant date.