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: Calcaterra Chris M. (Chief Operating Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-18	Common Stock	A	15499	—	Acquired	179305	Direct
2021-03-18	Common Stock	F	783	$89.22	Disposed	178522	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	6384	Acquired	2030-03-12	Common Stock (6384)	Direct
2021-03-18	Stock Options (Right to Buy)	$28.78	A	4562	Acquired	2030-03-12	Common Stock (4562)	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 21,466 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 19,888 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.

F6: Represents an option to purchase shares of common stock previously granted by the Issuer on April 1, 2020 pursuant to the Reporting Person's election to receive a portion of his annual bonus for 2020 in the form of stock options rather than cash (the "Bonus Election"). The Compensation Committee determined on March 18, 2021 the annual bonus payable to the Reporting Person pursuant to the Issuer's 2020 executive bonus plan and the number of shares of common stock subject to the stock option earned by the Reporting Person in accordance with the Bonus Election, subject to continued employment through the vesting date. The option to purchase common stock will vest on April 1, 2021.