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: Gilliam Joseph E (CFO, SVP Corporate Development)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-18	Common Stock	A	15499	—	Acquired	58301	Direct
2021-03-22	Common Stock	F	562	$89.22	Disposed	57739	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	6839	Acquired	2030-03-12	Common Stock (6839)	Direct

Footnotes

F1: 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.

F2: Includes 36,606 restricted stock units that have not yet vested or been delivered to the Reporting Person.

F3: 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.

F4: Includes 35,517 restricted stock units that have not yet vested or been delivered to the Reporting Person.

F5: 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 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 number of shares of common stock subject to the stock option as reported herein consists of the portion of the award that vested based upon the achievement with respect to the first-year performance goal.