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GLAUKOS Corp — Director's Dealing 2017
Jan 13, 2017
31074_dirs_2017-01-13_ed62f3fd-bf89-4145-9566-1c0df3555935.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: 2017-01-12
Reporting Person: HARRISON RICHARD L (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-01-12 | Common Stock | M | 14321.00 | $7.275 | Acquired | 15709.00 | Direct |
| 2017-01-12 | Common Stock | S | 14321.00 | $40.00 | Disposed | 1388.00 | Direct |
| 2017-01-13 | Common Stock | M | 6313.00 | $7.275 | Acquired | 7701.00 | Direct |
| 2017-01-13 | Common Stock | S | 6313.00 | $40.01 | Disposed | 1388.00 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-01-12 | Stock Option (right to buy) | $7.275 | M | 14321.00 | Disposed | 2024-07-10 | Common Stock (14321.00) | Direct |
| 2017-01-13 | Stock Option (right to buy) | $7.275 | M | 6313.00 | Disposed | 2024-07-10 | Common Stock (6313.00) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 206000.00 | 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 $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.
F3: This transaction was executed in multiple trades at prices ranging from $40.00 to $40.15. 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.
F4: This option has a four-year vesting schedule in which 25% vests on the first year anniversary date of the grant and the remainder vests equally for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.