GLAUKOS Corp — Director's Dealing 2020

Dec 3, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: GLAUKOS Corp (GKOS)
CIK: 0001192448
Period of Report: 2020-12-01

Reporting Person: LINK WILLIAM J PHD (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-01	Common Stock	M	10000	$7.275	Acquired	25439	Direct
2020-12-01	Common Stock	M	25000	$32.00	Acquired	50439	Direct
2020-12-01	Common Stock	M	15000	$24.69	Acquired	65439	Direct
2020-12-01	Common Stock	S	49400	$67.9573	Disposed	16039	Direct
2020-12-01	Common Stock	S	600	$68.7197	Disposed	15439	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-12-01	Stock Option (Right to Buy)	$7.275	M	10000	Disposed	2024-07-10	Common Stock (10000)	Direct
2020-12-01	Stock Option (Right to Buy)	$32.00	M	25000	Disposed	2025-07-23	Common Stock (25000)	Direct
2020-12-01	Stock Option (Right to Buy)	$24.69	M	15000	Disposed	2026-06-02	Common Stock (15000)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	40479	Indirect

Footnotes

F1: Includes 6,013 restricted stock units that have not yet vested or been delivered to the Reporting Person.

F2: 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.

F3: 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.

F4: 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.

F5: 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.

F6: 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.

F7: 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.