GLAUKOS Corp — Director's Dealing 2021

Mar 22, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: GLAUKOS Corp (GKOS)
CIK: 0001192448
Period of Report: 2021-03-18

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-18	Common Stock	A	7412	—	Acquired	325479	Direct
2021-03-18	Common Stock	A	30835	—	Acquired	356314	Direct
2021-03-22	Common Stock	F	1848	$89.22	Disposed	354466	Direct
2021-03-22	Common Stock	F	2609	$88.85	Disposed	353705	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-03-18	Stock Options (Right to Buy)	$39.10	A	16074	Acquired	2030-03-12	Common Stock (16074)	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: Represents shares of common stock underlying a portion of an award of restricted stock units previously granted by the Issuer on March 12, 2020, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") determined on March 18, 2021 the level of achievement for the first year of the multi-year performance period. The Reporting Person elected to receive 50% of this performance grant in the form of restricted stock units and 50% in the form of an option to purchase shares of common stock. The number of shares of common stock reported herein consists of the portion of the award that vested based upon the achievement with respect to 50% of the first-year performance goal.

F2: Includes 52,026 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: Includes 82,861 restricted stock units that have not yet vested or been delivered to the Reporting Person.

F5: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on March 14, 2019.

F6: Includes 78,007 restricted stock units that have not yet vested or been delivered to the Reporting Person.

F7: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on March 12, 2020.

F8: Includes 70,494 restricted stock units that have not yet vested or been delivered to the Reporting Person.

F9: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 12, 2020, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation Committee determined on March 18, 2021 the level of achievement for the first year of the multi-year performance period. The Reporting Person elected to receive 50% of this performance grant in the form of restricted stock units and 50% in the form of an option to purchase shares of common stock. The number of shares of common stock subject to the stock option reported herein consists of the portion of the shares subject to the stock option that vested with respect to 50% of the first-year performance goal.