Sec Form 4 Filing - Kliman Gilbert H @ GLAUKOS Corp - 2019-06-07

Insider filing report for Changes in Beneficial Ownership
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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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Kliman Gilbert H
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
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O GLAUKOS CORPORATION,, 229 AVENIDA FABRICANTE
3. Date of Earliest Transaction (MM/DD/YY)
06/07/2019
(Street)
SAN CLEMENTE, CA92672
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 06/07/2019 J( 1 ) 4,633 D $ 0 3,830 ( 2 ) D
Common Stock 06/07/2019 J( 1 ) 4,633 A $ 0 7,995 I See footnote below ( 3 )
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Kliman Gilbert H
C/O GLAUKOS CORPORATION,
229 AVENIDA FABRICANTE
SAN CLEMENTE, CA92672
X
Signatures
Robert L. Davis, Attorney-in-Fact 06/10/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The Reporting Person transferred these shares to InterWest Venture Management Company ("IVMC"), for no consideration, pursuant to an agreement between the Reporting Person and InterWest Partners IX, LP ("IP9") relating to compensation received in connection with his service as a director of the Issuer.
( 2 )Consists of 3,830 restricted stock units that have not yet vested or been delivered to the Reporting Person.
( 3 )Consists of (i) 3,362 shares owned by IP9 and (ii) 4,633 shares owned by IVMC. The Reporting Person is a Managing Director of the General Partner of IP9 and an owner, director and officer of IVMC. The Reporting Person has shared voting and investment control over shares owned by IP9 and IVMC, and disclaims beneficial ownership of those securities, except to the extent of his pecuniary interest therein.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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