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GLAUKOS Corp — Director's Dealing 2017
Sep 8, 2017
31074_dirs_2017-09-08_ee97a9cd-3b41-4c94-944f-49e2062c7f9e.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: GLAUKOS Corp (GKOS)
CIK: 0001192448
Period of Report: 2017-09-07
Reporting Person: Burns Thomas William (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-09-07 | Common Stock | M | 25000.00 | $1.25 | Acquired | 235240.00 | Indirect |
| 2017-09-07 | Common Stock | M | 48788.00 | $1.925 | Acquired | 284028.00 | Indirect |
| 2017-09-07 | Common Stock | S | 73788.00 | $41.36 | Disposed | 210240.00 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-09-07 | Stock Options (Right to buy) | $1.25 | M | 25000.00 | Disposed | 2018-01-29 | Common Stock (25000.00) | Direct |
| 2017-09-07 | Stock Options (Right to buy) | $1.925 | M | 48788.00 | Disposed | 2020-01-26 | Common Stock (48788.00) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 238107.00 | Indirect |
| Common Stock | 120000.00 | Indirect |
| Common Stock | 100000.00 | Indirect |
| Common Stock | 100000.00 | Indirect |
Footnotes
F1: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.
F2: This transaction was executed in multiple trades at prices ranging from $41.25 to $42.07. 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.
F3: This option was granted on January 29, 2008, has a four-year vesting schedule in which 25% vested on the first year anniversary date of the grant and the remainder vested equally for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.
F4: This option was granted on January 26, 2010, has a four-year vesting schedule in which 25% vested on the first year anniversary date of the grant and the remainder vested equally for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.