0001104659-20-137560.txt : 20201218 0001104659-20-137560.hdr.sgml : 20201218 20201218204032 ACCESSION NUMBER: 0001104659-20-137560 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201216 FILED AS OF DATE: 20201218 DATE AS OF CHANGE: 20201218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Calcaterra Chris M. CENTRAL INDEX KEY: 0001640771 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 201402126 MAIL ADDRESS: STREET 1: C/O GLAUKOS CORPORATION STREET 2: 26051 MERIT CIRCLE, SUITE 103 CITY: LAGUNA HILLS STATE: CA ZIP: 92653 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GLAUKOS Corp CENTRAL INDEX KEY: 0001192448 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 229 AVENIDA FABRICANTE CITY: SAN CLEMENTE STATE: CA ZIP: 92672 BUSINESS PHONE: 949-367-9600 MAIL ADDRESS: STREET 1: 229 AVENIDA FABRICANTE CITY: SAN CLEMENTE STATE: CA ZIP: 92672 FORMER COMPANY: FORMER CONFORMED NAME: GLAUKOS CORP DATE OF NAME CHANGE: 20020925 4 1 a4.xml 4 X0306 4 2020-12-16 0 0001192448 GLAUKOS Corp GKOS 0001640771 Calcaterra Chris M. C/O GLAUKOS CORPORATION, 229 AVENIDA FABRICANTE SAN CLEMENTE CA 92672 0 1 0 0 Chief Operating Officer Common Stock 2020-12-16 4 A 0 4128 71.94 A 162573 D Common Stock 2020-12-17 4 A 0 1233 72.99 A 163806 D Represents shares of common stock subject to a performance-based restricted stock unit award previously granted by the Issuer on March 14, 2019, the vesting of which was subject to the Issuer's achievement of certain performance goals within three years of the grant date. The Compensation Committee of the Issuer's Board of Directors determined on December 16, 2020 that the performance goals had been achieved. The number of shares of common stock reported consists of the 6,311 shares underlying the restricted stock units originally granted less 2,183 shares withheld by the Issuer with respect to income taxes payable by the Reporting Person upon the vesting and delivery of the shares of common stock underlying these restricted stock units. Includes 4,734 restricted stock units that have not yet vested or been delivered to the Reporting Person. Granted by the Issuer in the form of restricted stock units which vest over a three-year period, with one-third to vest on each anniversary of the grant date. Includes 5,967 restricted stock units that have not yet vested or been delivered to the Reporting Person. /s/ Diana Scherer, Attorney-in-Fact 2020-12-18 EX-24 2 ex-24.htm EX-24

Exhibit 24

 

POWER OF ATTORNEY

 

(For SEC Filings — Form ID, Forms 3, 4, and 5, Schedules 13D and 13G and Form 144)

 

Know all by these presents, that the undersigned hereby makes, constitutes and appoints each of Diane Biagianti and Diana Scherer, or either of them acting singly, and with full power of substitution and re-substitution, the undersigned’s true and lawful attorney-in-fact (each of such persons and their substitutes being referred to herein as the “Attorney-in-Fact”), with full power to act for the undersigned and in the undersigned’s name, place and stead, in any and all capacities, to:

 

1.     Prepare, execute, and submit to the Securities and Exchange Commission (“SEC”) a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required or considered by the Attorney-in-Fact to be advisable under Section 13 or Section 16 of the Securities Exchange Act of 1934 (the “Exchange Act”) or any rule or regulation of the SEC;

 

2.     Prepare, execute and submit to the SEC, Glaukos Corporation (the “Company”), and/or any national securities exchange on which the Company’s securities are listed any and all reports (including any amendments thereto) the undersigned is required to file with the SEC, or which the Attorney-in-Fact considers it advisable to file with the SEC, under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder, or under Rule 144 under the Securities Act of 1933 (“Rule 144”), with respect to the any security of the Company, including Forms 3, 4 and 5, Schedules 13D and 13G, and Forms 144; and

 

3.     Obtain, as the undersigned’s representative and on the undersigned’s behalf, information regarding transactions in the Company’s equity securities from any third party, including the Company and any brokers, dealers, employee benefit plan administrators and trustees, and the undersigned hereby authorizes any such third party to release any such information to the Attorney-in-Fact.

 

The undersigned acknowledges that:

 

a)             This Power of Attorney authorizes, but does not require, the Attorney-in-Fact to act in his or her discretion on information provided to such Attorney-in-Fact without independent verification of such information;

 

b)             Any documents prepared or executed by the Attorney-in-Fact on behalf of the undersigned pursuant to this Power of Attorney will be in such form and will contain such information as the Attorney-in-Fact, in his or her discretion, deems necessary or desirable;

 

c)              Neither the Company nor the Attorney-in-Fact assumes any liability for the undersigned’s responsibility to comply with the requirements of Section 13 or Section 16 of the Exchange Act or Rule 144, any liability of the undersigned for any failure to comply with such requirements, or any liability of the undersigned for disgorgement of profits under Section 16(b) of the Exchange Act; and

 

d)             This Power of Attorney does not relieve the undersigned from responsibility for compliance with the undersigned’s obligations under Section 13 or Section 16 of the Exchange Act, including, without limitation, the reporting requirements under Section 13 or Section 16 of the Exchange Act.

 

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The undersigned hereby grants to the Attorney-in-Fact full power and authority to do and perform each and every act and thing requisite, necessary or advisable to be done in connection with the foregoing, as fully, to all intents and purposes, as the undersigned might or could do in person, hereby ratifying and confirming all that the Attorney-in-Fact, or his or her substitute or substitutes, shall lawfully do or cause to be done by authority of this Power of Attorney.

 

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 4 or 5 or Schedules 13D or 13G or Forms 144 with respect to the undersigned’s holdings of and transactions in securities of the Company, unless earlier revoked by the undersigned in a signed writing delivered to the Attorney-in-Fact. This Power of Attorney revokes all previous powers of attorney with respect to the subject matter of this Power of Attorney.

 

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IN WITNESS WHEREOF, the undersigned has executed this Power of Attorney as of December 16, 2020.

 

 

 

/s/ Chris M. Calcaterra

 

 

 

Name:

Chris M. Calcaterra

 

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