0001415889-23-005410.txt : 20230324 0001415889-23-005410.hdr.sgml : 20230324 20230324210529 ACCESSION NUMBER: 0001415889-23-005410 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230322 FILED AS OF DATE: 20230324 DATE AS OF CHANGE: 20230324 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: 23761270 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 form4-03252023_010322.xml X0407 4 2023-03-22 0001192448 GLAUKOS Corp GKOS 0001705850 Gilliam Joseph E C/O GLAUKOS CORPORATION ONE GLAUKOS WAY ALISO VIEJO CA 92656 false true false false PRESIDENT & COO 0 Common Stock 2023-03-22 4 A 0 20636 0 A 124958 D Stock Option (Right to Buy) 48.46 2023-03-22 4 A 0 36751 0 A 2033-03-22 Common Stock 36751 36751 D Stock Option (Right to Buy) 55.18 2023-03-22 4 A 0 13721 0 A 2023-03-22 2032-03-24 Common Stock 13721 13721 D Stock Option (Right to Buy) 55.18 2023-03-22 4 A 0 12807 0 A 2032-03-24 Common Stock 12807 26528 D 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 97,155 restricted stock units that have not yet vested or been delivered to the Reporting Person. 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. 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. 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. 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. Diana Scherer, Attorney-in-Fact 2023-03-24