Sec Form 4 Filing - LINK WILLIAM J PHD @ GLAUKOS Corp - 2020-12-01

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
LINK WILLIAM J PHD
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)
12/01/2020
(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 12/01/2020 M 10,000 A $ 7.275 25,439 ( 1 ) D
Common Stock 12/01/2020 M 25,000 A $ 32 50,439 ( 1 ) D
Common Stock 12/01/2020 M 15,000 A $ 24.69 65,439 ( 1 ) D
Common Stock 12/01/2020 S 49,400 D $ 67.9573 ( 2 ) 16,039 ( 1 ) D
Common Stock 12/01/2020 S 600 D $ 68.7197 ( 3 ) 15,439 ( 1 ) D
Common Stock 40,479 I See footnote ( 4 )
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
Stock Option (Right to Buy) $ 7.275 12/01/2020 M 10,000 ( 5 ) 07/10/2024 Common Stock 10,000 $ 0 0 D
Stock Option (Right to Buy) $ 32 12/01/2020 M 25,000 ( 6 ) 07/23/2025 Common Stock 25,000 $ 0 0 D
Stock Option (Right to Buy) $ 24.69 12/01/2020 M 15,000 ( 7 ) 06/02/2026 Common Stock 15,000 $ 0 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
LINK WILLIAM J PHD
C/O GLAUKOS CORPORATION
229 AVENIDA FABRICANTE
SAN CLEMENTE, CA92672
X
Signatures
/s/ Robert L. Davis, Attorney-in-Fact 12/03/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Includes 6,013 restricted stock units that have not yet vested or been delivered to the Reporting Person.
( 2 )This transaction was executed in multiple trades at prices ranging from $67.68 to $68.675. 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 $68.68 to $68.785. 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 )The shares are held by The Link Family Trust (the "Link Trust") for the benefit of William J. Link. William J. Link is a trustee of the Link Trust. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his proportionate pecuniary interest therein.
( 5 )Granted July 10, 2014 pursuant to the Issuer's 2011 Stock Plan. Vests annually over a three-year period such that it is vested in full on the three-year anniversary of the grant date.
( 6 )Granted on July 23, 2015 pursuant to the Issuer's 2015 Stock Plan. Vests annually over a three-year period such that it is vested in full on the three-year anniversary of the grant date.
( 7 )Granted June 2, 2016 pursuant to the Issuer's 2015 Omnibus Incentive Compensation Plan. Vests in full on the one-year anniversary of the grant 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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