0001415889-23-016914.txt : 20231222 0001415889-23-016914.hdr.sgml : 20231222 20231222180538 ACCESSION NUMBER: 0001415889-23-016914 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231221 FILED AS OF DATE: 20231222 DATE AS OF CHANGE: 20231222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gilliam Joseph E CENTRAL INDEX KEY: 0001705850 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 231511036 MAIL ADDRESS: STREET 1: C/O GLAUKOS CORPORATION STREET 2: 229 AVENIDA FABRICANTE CITY: SAN CLEMENTE STATE: CA ZIP: 92677 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 form4-12222023_111232.xml X0508 4 2023-12-21 0001192448 GLAUKOS Corp GKOS 0001705850 Gilliam Joseph E C/O GLAUKOS CORPORATION ONE GLAUKOS WAY ALISO VIEJO CA 92656 false true false false PRESIDENT & COO 1 Common Stock 2023-12-21 4 M 0 25000 41.69 A 145001 D Common Stock 2023-12-21 4 S 0 4835 83.70 D 140166 D Common Stock 2023-12-21 4 S 0 16965 84.97 D 123201 D Common Stock 2023-12-21 4 S 0 3200 85.58 D 120001 D Stock Option (Right to Buy) 41.69 2023-12-21 4 M 0 25000 0 D 2027-05-05 Common Stock 25000 92044 D Includes 82,275 restricted stock units that have not yet vested or not yet been delivered to the Reporting Person. Also reflects a prior transfer by the Reporting Person of 88 shares of common stock pursuant a domestic relations order in connection with a marital dissolution. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 7, 2023. This transaction was executed in multiple trades at prices ranging from $83.38 to $84.35. 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. Includes 82,275 restricted stock units that have not yet vested or not yet been delivered to the Reporting Person. This transaction was executed in multiple trades at prices ranging from $84.44 to $85.43. 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 $85.44 to $85.71. 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 March 7, 2023. This option was granted on May 5, 2017 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 2023-12-22