Form Type: 4

SEC EDGAR Link
Accession Number:0001104659-19-027860
Date:2019-05-06
Issuer: GLAUKOS CORP (GKOS)
Original Submission Date:

Reporting Person:

GILLIAM JOSEPH E
C/O GLAUKOS CORPORATION,
229 AVENIDA FABRICANTE SAN CLEMENTE, CA 92672

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-05-06 F 11,219 d $75.64 70,786 direct
COMMON STOCK 2019-05-06 J 23,723 d $0.00 47,063 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTIONS (RIGHT TO BUY) 41.69 2019-05-06 deemed execution date J 111,907 (d) 2027-05-05 common stock 111,907 $41.69 188,093 direct
STOCK OPTIONS (RIGHT TO BUY) 30.92 2019-05-06 deemed execution date J 24,955 (d) 2028-03-14 common stock 24,955 $30.92 55,545 direct
STOCK OPTIONS (RIGHT TO BUY) 69.3 2019-05-06 deemed execution date J 4,010 (d) 2029-03-14 common stock 4,010 $69.30 9,290 direct
Footnotes
IDfootnote
f1 consists of shares withheld by the issuer with respect to income taxes payable by the reporting person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the issuer on may 5, 2017, with the vesting schedule in four equal installments on may 5, 2018, may 5, 2019, may 5, 2020 and may 5, 2021.
f2 includes 56,311 restricted stock units that have not yet vested or been delivered to the reporting person.
f3 in order to comply with the terms of a domestic relations order ("dro") in connection with a marital dissolution, the reporting person's former spouse now holds the economic interest, and the reporting person no longer has any pecuniary interest, in the following securities: (i) 5,265 shares of common stock of the issuer and (2) 18,458 restricted stock units that have not yet vested or been delivered to the reporting person, which were previously reported as directly owned by the reporting person. while the reporting person retains possession of the common stock and restricted stock units until they are sold in connection with the dro, the reporting person's former spouse will receive the economic benefits from, and the reporting person will have no discretion with respect to, such securities. (continued in footnote 4).
f4 accordingly, the reporting person will not report beneficial ownership or dispositions of these securities (including restricted stock units) in future section 16(a) reports, including to the extent such securities are sold pursuant to a rule 10b5-1 trading plan that may be adopted by the reporting person that includes these securities. likewise, the number of shares of common stock of the issuer that may be reported as withheld to satisfy tax obligations in table 1 will not include the shares withheld with respect to the portion of the restricted stock units representing the former spouse's economic interest.
f5 includes 37,853 restricted stock units that have not yet vested or been delivered to the reporting person.
f6 pursuant to the dro referenced in footnote (3) above, the reporting person's economic interest in a portion of this stock option grant is now held by the reporting person's former spouse. while these options were retained by the reporting person, his former spouse will receive the economic benefit from the portion of the grant representing the former spouse's economic interest, including in connection with exercises thereof and sales of the common stock underlying such portion. accordingly, the reporting person will not report beneficial ownership or dispositions of the portion of the option grant representing the former spouse's economic interest, nor will the reporting person report beneficial ownership or acquisitions or dispositions of the underlying common stock, in future section 16(a) filings.
f7 these options vest over four years from the grant date, with 25% vesting on the first anniversary of the grant date and the remaining amount vesting in equal monthly installments over the following three years.
WhaleWisdom Logo

Elevate your investments