GLAUKOS Corp — Director's Dealing 2023

Mar 24, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: GLAUKOS Corp (GKOS)
CIK: 0001192448
Period of Report: 2023-03-22

Reporting Person: Gilliam Joseph E (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-03-22	Common Stock	A	20636	—	Acquired	124958	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-03-22	Stock Option (Right to Buy)	$48.46	A	36751	Acquired	2033-03-22	Common Stock (36751)	Direct
2023-03-22	Stock Option (Right to Buy)	$55.18	A	13721	Acquired	2032-03-24	Common Stock (13721)	Direct
2023-03-22	Stock Option (Right to Buy)	$55.18	A	12807	Acquired	2032-03-24	Common Stock (12807)	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 97,155 restricted stock units that have not yet vested or been delivered to the Reporting Person.

F3: 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.

F4: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer to the Reporting Person on March 24, 2022 in connection with his promotion to President and Chief Operating Officer, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation, Nominating & Governance Committee determined on March 22, 2023 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 reported herein consists of the portion of the shares subject to the stock option that vested with respect to 100% of the first-year performance goal.

F5: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 24, 2022, the vesting of which was subject to the Issuer's achievement of certain pre-determined operational targets over a multi-year performance period. The Compensation, Nominating & Governance Committee determined on March 22, 2023 that certain of the operational targets had been achieved. The number of shares of common stock subject to the stock option as reported herein consists of the portion of the award that was earned based upon the achievement of the operational targets.

F6: 50% of the portion of the option reported herein will vest and become exercisable in April 2023, and the remaining 50% will vest and become exercisable in January 2024.