Statement of Changes in Beneficial Ownership (4)
May 22 2020 - 7:24PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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1. Name and Address of Reporting Person
*
Burns Thomas William |
2. Issuer Name and Ticker or Trading Symbol
GLAUKOS Corp
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GKOS
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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 |
(Last)
(First)
(Middle)
C/O GLAUKOS CORPORATION, 229 AVENIDA FABRICANTE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/20/2020 |
(Street)
SAN CLEMENTE, CA 92672
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 5/20/2020 | | M | | 200 | A | $3.975 | 306089 (1) | D | |
Common Stock | 5/20/2020 | | M | | 200 | A | $3.975 | 306289 (1) | D | |
Common Stock | 5/20/2020 | | S(2) | | 400 | D | $38.0533 (3) | 305889 (1) | D | |
Common Stock | | | | | | | | 238107 | I | Through the Burns Annuity Trust |
Common Stock | | | | | | | | 120000 | I | Through the Burns Charitable Remainder Trust |
Common Stock | | | | | | | | 277847 | I | Through the Burns Family Trust |
Common Stock | | | | | | | | 100000 | I | Through the Janet M. Burns Irrevocable Trust |
Common Stock | | | | | | | | 100000 | I | Through the Thomas W. Burns Irrevocable Trust |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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) | $3.975 | 5/20/2020 | | M (2) | | | 200 | (4) | 1/27/2021 | Common Stock | 200 | $0 | 138600 | D | |
Stock Option (Right to Buy) | $3.975 | 5/20/2020 | | M (2) | | | 200 | (5) | 4/28/2021 | Common Stock | 200 | $0 | 68847 | D | |
Explanation of Responses: |
(1) | Includes 44,614 restricted stock units that have not yet vested or been delivered to the Reporting Person. |
(2) | These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices. |
(3) | This transaction was executed in multiple trades at prices ranging from $38.01 to $38.09. 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 option was granted on January 27, 2011 and 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. |
(5) | This option was granted on April 28, 2011 and 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Burns Thomas William C/O GLAUKOS CORPORATION 229 AVENIDA FABRICANTE SAN CLEMENTE, CA 92672 | X |
| Chief Executive Officer |
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Signatures
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/s/ Robert L. Davis, Attorney-in-Fact | | 5/22/2020 |
**Signature of Reporting Person | Date |
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