0001104659-22-038982.txt : 20220328 0001104659-22-038982.hdr.sgml : 20220328 20220328202908 ACCESSION NUMBER: 0001104659-22-038982 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220324 FILED AS OF DATE: 20220328 DATE AS OF CHANGE: 20220328 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gilliam Joseph E CENTRAL INDEX KEY: 0001705850 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 22777113 MAIL ADDRESS: STREET 1: C/O GLAUKOS CORPORATION STREET 2: 229 AVENIDA FABRICANTE CITY: SAN CLEMENTE STATE: CA ZIP: 92677 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 tm2210670-3_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2022-03-24 0 0001192448 GLAUKOS Corp GKOS 0001705850 Gilliam Joseph E C/O GLAUKOS CORPORATION, 229 AVENIDA FABRICANTE SAN CLEMENTE CA 92672 0 1 0 0 CFO, SVP Corporate Development Common Stock 2022-03-24 4 A 0 3886 0 A 40657 D Common Stock 2022-03-24 4 A 0 36245 0 A 76902 D Stock Option (Right to Buy) 39.10 2022-03-24 4 A 0 5268 0 A 2022-04-01 2030-03-12 Common Stock 5268 12107 D Represents shares of common stock underlying a portion of an award of restricted stock units previously granted by the Issuer on March 18, 2021, 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 24, 2022 the level of achievement for the first year of the multi-year performance period. The Reporting Person elected to receive this performance grant in the form of restricted stock units. The number of shares reported herein consists of the portion of the award that was deemed earned based upon the achievement with respect to the first-year performance goal. 50% of the number of shares of common stock reported herein will vest and be delivered on April 6, 2022 and the remaining 50% will vest and be delivered on January 6, 2023. Includes 20,872 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 four-year period, with 25% to vest on each anniversary of the grant date. Includes 57,117 restricted stock units that have not yet vested or been delivered to the Reporting Person. 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 24, 2022 the level of achievement for the second 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 was earned based upon the achievement with respect to the second-year performance goal. The portion of the option reported herein will vest and become exercisable on April 1, 2022. /s/ Diana Scherer, Attorney-in-Fact 2022-03-28