SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Burns Thomas William

(Last) (First) (Middle)
C/O GLAUKOS CORPORATION
229 AVENIDA FABRICANTE

(Street)
SAN CLEMENTE CA 92672

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GLAUKOS Corp [ GKOS ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Executive Officer
3. Date of Earliest Transaction (Month/Day/Year)
08/06/2018
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/06/2018 M 98,885 A $1.925 376,125 I Through the Burns Family Trust
Common Stock 08/06/2018 S(1) 19,445 D $37.2(2) 356,680 I Through the Burns Family Trust
Common Stock 08/06/2018 S(1) 45,449 D $38.32(3) 311,231 I Through the Burns Family Trust
Common Stock 08/06/2018 S(1) 33,991 D $39.22(4) 277,240 I Through the Burns Family Trust
Common Stock 08/07/2018 M 21,755 A $1.925 298,995 I Through the Burns Family Trust
Common Stock 08/07/2018 M 10,320 A $3.975 309,315 I Through the Burns Family Trust
Common Stock 08/07/2018 M 19,040 A $1.05 328,355 I Through the Burns Family Trust
Common Stock 08/07/2018 S(1) 39,099 D $39.27(5) 289,256 I Through the Burns Family Trust
Common Stock 08/07/2018 S(1) 12,016 D $40.25(6) 277,240 I Through the Burns Family Trust
Common Stock 238,107 I Through the Burns Annuity Trust
Common Stock 120,000 I Through the Burns Charitable Remainder Trust
Common Stock 100,000 I Through the Janet M. Burns Irrevocable Trust
Common Stock 100,000 I Through the Thomas W. Burns Irrevocable Trust
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $1.925 08/06/2018 M 98,885 (7) 01/26/2020 Common Stock 98,885 $0.00 21,755 D
Stock Option (Right to Buy) $3.975 08/07/2018 M 10,320 (8) 01/27/2021 Common Stock 10,320 $0.00 317,680 D
Stock Option (Right to Buy) $1.925 08/07/2018 M 21,755 (7) 01/26/2020 Common Stock 21,755 $0.00 0.00 D
Stock Option (Right to Buy) $1.05 08/07/2018 M 19,040 (9) 04/22/2020 Common Stock 19,040 $0.00 0.00 D
Explanation of Responses:
1. These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.
2. This transaction was executed in multiple trades at prices ranging from $36.94 to $37.89. 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.
3. This transaction was executed in multiple trades at prices ranging from $37.94 to $38.93 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.
4. This transaction was executed in multiple trades at prices ranging from $38.95 to $39.75. 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.
5. This transaction was executed in multiple trades at prices ranging from $39.00 to $39.99. 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.
6. This transaction was executed in multiple trades at prices ranging from $40.00 to $40.54. 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.
7. 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 in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.
8. This option was granted on January 27, 2011, has a four-year vesting schedule in which 25% vested on the first year anniversary date of the grant and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.
9. This option was granted on April 22, 2010, has a four-year vesting schedule in which 25% vested on the first year anniversary date of the grant and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.
Remarks:
/s/ Robert Davis, Attorney-in-Fact 08/07/2018
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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