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GLAUKOS Corp — Director's Dealing 2017
Jan 9, 2017
31074_dirs_2017-01-09_81c30c7e-a725-47cd-88c8-6831a01837a0.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: 2017-01-06
Reporting Person: HARRISON RICHARD L (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-01-06 | Common Stock | M | 1268.00 | $3.975 | Acquired | 2656.00 | Direct |
| 2017-01-06 | Common Stock | M | 16500.00 | $4.225 | Acquired | 19156.00 | Direct |
| 2017-01-06 | Common Stock | M | 2866.00 | $7.275 | Acquired | 22022.00 | Direct |
| 2017-01-06 | Common Stock | S | 20574.00 | $35.578 | Disposed | 1448.00 | Direct |
| 2017-01-06 | Common Stock | S | 60.00 | $36.01 | Disposed | 1388.00 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-01-06 | Stock Options (Right to buy) | $3.975 | M | 1268.00 | Disposed | 2021-01-27 | Common Stock (1268.00) | Direct |
| 2017-01-06 | Stock Option (right to buy) | $4.225 | M | 16500.00 | Disposed | 2023-01-29 | Common Stock (16500.00) | Direct |
| 2017-01-06 | Stock Option (right to buy) | $7.275 | M | 2866.00 | Disposed | 2024-07-10 | Common Stock (2866.00) | 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 $35.00 to $35.98. 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 $36.00 to $36.06. 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.