GLAUKOS Corp — Director's Dealing 2019

Dec 11, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: GLAUKOS Corp (GKOS)
CIK: 0001192448
Period of Report: 2019-12-09

Reporting Person: Burns Thomas William (Director, Chief Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-12-09	Common Stock	M	3583	$3.70	Acquired	48807	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-12-09	Stock Option (Right to Buy)	$3.70	M	3583	Disposed	2022-07-13	Common Stock (3583)	Direct
2019-11-21	Stock Option (Right to Buy)	$10.11	A	40682	Acquired	2020-11-01	Common Stock (40682)	Direct
2019-11-21	Stock Option (Right to Buy)	$34.88	A	3034	Acquired	2020-11-01	Common Stock (3034)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	277847	Indirect
Common Stock	238107	Indirect
Common Stock	120000	Indirect
Common Stock	100000	Indirect
Common Stock	100000	Indirect

Footnotes

F1: Includes 19,416 restricted stock units that have not yet vested or been delivered to the Reporting Person.

F2: These stock options vest over four years from the grant date, with 25% vesting on the one-year anniversary of the grant date and the remaining amount vesting in equal monthly installments over the following 36 months.

F3: These stock options were granted to the Reporting Person pursuant to the terms of that certain Agreement and Plan of Merger dated as of August 7, 2019 (the "Merger Agreement"), by and between the Issuer, Avedro, Inc. ("Avedro") and Atlantic Merger Sub, Inc. (a wholly-owned subsidiary of the Issuer and referred to herein as "Merger Sub"), pursuant to which, effective November 21, 2019, Merger Sub merged with and into Avedro, with Avedro continuing as the surviving corporation (the "Merger"). Pursuant to the Merger Agreement, all options to receive common stock of Avedro outstanding prior to the consummation of the Merger were cancelled and converted into options to receive common stock of Issuer in an amount equal to the number of options to receive shares of Avedro stock multiplied by 0.365.

F4: The exercisability of these stock options was fully accelerated by the Board of Directors of Avedro effective as of August 6, 2019, the date the Reporting Person resigned from the Board of Directors of Avedro.