GLAUKOS Corp — Director's Dealing 2020

Mar 16, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: GLAUKOS Corp (GKOS)
CIK: 0001192448
Period of Report: 2020-03-12

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-03-12	Common Stock	A	11335	—	Acquired	283834	Direct
2020-03-12	Common Stock	A	30052	—	Acquired	313886	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-03-12	Stock Option (Right to Buy)	$39.10	A	65170	Acquired	2030-03-12	Common Stock (65170)	Direct

Holdings (Non-Derivative)

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

Footnotes

F1: Represents shares of common stock subject to a restricted stock unit award previously granted by the Issuer on April 1, 2019 pursuant to the Reporting Person's election to receive his annual bonus for 2019 in the form of restricted stock units rather than cash (the "Bonus Election"). The Compensation Committee determined on March 12, 2020 the annual bonus payable to the Reporting Person pursuant to the Issuer's 2019 executive bonus plan and the number of stock units earned by the Reporting Person in accordance with the Bonus Election, subject to continued employment through the vesting date. The restricted stock units will vest on April 1, 2020 and are payable on a one-for-one basis in shares of the Issuer's common stock.

F2: Includes 49,468 restricted stock units that have not yet vested or been delivered to the Reporting Person.

F3: Granted by the Issuer in the form of restricted stock units which vest over a four-year period, with 25% to vest on each anniversary of the grant date.

F4: 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.