0001415889-24-000952.txt : 20240110 0001415889-24-000952.hdr.sgml : 20240110 20240110191452 ACCESSION NUMBER: 0001415889-24-000952 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240108 FILED AS OF DATE: 20240110 DATE AS OF CHANGE: 20240110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Burns Thomas William CENTRAL INDEX KEY: 0001644557 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 24527656 MAIL ADDRESS: STREET 1: C/O GLAUKOS CORPORATION, STREET 2: 26051 MERIT CIRCLE, SUITE 103 CITY: LAGUNA HILLS STATE: CA ZIP: 92653 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GLAUKOS Corp CENTRAL INDEX KEY: 0001192448 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] ORGANIZATION NAME: 08 Industrial Applications and Services IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 229 AVENIDA FABRICANTE CITY: SAN CLEMENTE STATE: CA ZIP: 92672 BUSINESS PHONE: 949-367-9600 MAIL ADDRESS: STREET 1: 229 AVENIDA FABRICANTE CITY: SAN CLEMENTE STATE: CA ZIP: 92672 FORMER COMPANY: FORMER CONFORMED NAME: GLAUKOS CORP DATE OF NAME CHANGE: 20020925 4 1 form4-01112024_120146.xml X0508 4 2024-01-08 0001192448 GLAUKOS Corp GKOS 0001644557 Burns Thomas William C/O GLAUKOS CORPORATION ONE GLAUKOS WAY ALISO VIEJO CA 92656 true true false false CHAIRMAN & CEO 1 Common Stock 2024-01-08 4 M 0 60000 7.275 A 115835 D Common Stock 2024-01-08 4 S 0 2314 80.65 D 113521 D Common Stock 2024-01-08 4 S 0 12614 81.50 D 100907 D Common Stock 2024-01-08 4 S 0 23299 82.38 D 77608 D Common Stock 2024-01-08 4 S 0 17873 83.38 D 59735 D Common Stock 2024-01-08 4 S 0 3900 84.21 D 55835 D Common Stock 2024-01-09 4 M 0 115 7.275 A 55950 D Common Stock 2024-01-09 4 S 0 5 85 D 55945 D Common Stock 2024-01-09 4 S 0 73 86.74 D 55872 D Common Stock 2024-01-09 4 S 0 37 87.33 D 55835 D Common Stock 893932 I Through the Burns Family Trust Common Stock 238107 I Through the Burns Annuity Trust Common Stock 120000 I Through the Burns Charitable Remainder Trust Common Stock 100000 I Through the Thomas W. Burns Irrevocable Trust Common Stock 100000 I Through the Janet M. Burns Irrevocable Trust Stock Option (Right to Buy) 7.275 2024-01-08 4 M 0 60000 0 D 2024-07-10 Common Stock 60000 115 D Stock Option (Right to Buy) 7.275 2024-01-09 4 M 0 115 0 D 2024-07-10 Common Stock 115 0 D Includes 47,177 restricted stock units that have not yet vested or been delivered to the Reporting Person. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 24, 2023. This transaction was executed in multiple trades at prices ranging from $80.00 to $80.94. 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. This transaction was executed in multiple trades at prices ranging from $81.00 to $81.99. 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. This transaction was executed in multiple trades at prices ranging from $82.00 to $82.99. 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. This transaction was executed in multiple trades at prices ranging from $83.00 to $83.97. 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. This transaction was executed in multiple trades at prices ranging from $84.05 to $84.39. 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. This transaction was executed in multiple trades at prices ranging from $86.25 to $87.24. 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. This transaction was executed in multiple trades at prices ranging from $87.26 to $88.04. 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. The option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 24, 2023. This option was granted on July 10, 2014 and had a four-year vesting schedule in which 25% vested on the first anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vested in full on the four-year anniversary of the grant date. Diana Scherer, Attorney-in-Fact 2024-01-10