0001415889-24-005638.txt : 20240227 0001415889-24-005638.hdr.sgml : 20240227 20240227212929 ACCESSION NUMBER: 0001415889-24-005638 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230223 FILED AS OF DATE: 20240227 DATE AS OF CHANGE: 20240227 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gilliam Joseph E CENTRAL INDEX KEY: 0001705850 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 24689826 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] ORGANIZATION NAME: 08 Industrial Applications and Services IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1 GLAUKOS WAY CITY: ALISO VIEJO STATE: CA ZIP: 92656 BUSINESS PHONE: 949-367-9600 MAIL ADDRESS: STREET 1: 1 GLAUKOS WAY CITY: ALISO VIEJO STATE: CA ZIP: 92656 FORMER COMPANY: FORMER CONFORMED NAME: GLAUKOS CORP DATE OF NAME CHANGE: 20020925 4 1 form4-02282024_020223.xml X0508 4 2023-02-23 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 1 Common Stock 2024-02-23 4 M 0 26671 39.10 A 146473 D Common Stock 2024-02-23 4 M 0 74425 41.69 A 220898 D Common Stock 2024-02-23 4 M 0 13128 30.92 A 234026 D Common Stock 2024-02-23 4 M 0 4607 39.10 A 238633 D Common Stock 2024-02-23 4 S 0 21414 90.94 D 217219 D Common Stock 2024-02-23 4 S 0 114739 92.33 D 102480 D Common Stock 2024-02-23 4 S 0 4092 93.05 D 98388 D Stock Option (Right to Buy) 41.69 2024-02-23 4 M 0 74425 0 D 2027-05-05 Common Stock 74425 43929 D Stock Option (Right to Buy) 30.92 2024-02-23 4 M 0 13128 0 D 2028-03-14 Common Stock 13128 0 D Stock Option (Right to Buy) 39.10 2024-02-23 4 M 0 26671 0 D 2030-03-12 Common Stock 26671 1053 D Stock Option (Right to Buy) 39.10 2024-02-23 4 M 0 4607 0 D 2030-03-12 Common Stock 4607 0 D Includes 81,885 restricted stock units that have not yet vested or been delivered to the Reporting Person. This transaction was executed in multiple trades at prices ranging from $90.37 to $91.02. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $91.79 to $92.76. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $92.80 to $93.45. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This option was granted on May 5, 2017 and had a four-year vesting schedule in which 25% vested on the first anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vested in full on the four-year anniversary of the grant date. The amount reported takes into account a reconciliation adjustment to reflect the Reporting Person's economic interest in the shares underlying this stock option grant to comply with the terms of a domestic relations order issued in connection with a marital dissolution. This option was granted on March 14, 2018 and had a four-year vesting schedule in which 25% vested on the first anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vested in full on the four-year anniversary of the grant date. This option was granted on March 12, 2020 and has a four-year vesting schedule in which 25% vested on the first anniversary of the grant date and the remainder vests in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date. The amount reported reflects an adjustment of 5,000 shares underlying a stock option grant reported as exercised on a Form 4 filed with the Securities and Exchange Commission on February 12, 2024. The exercise was inadvertently attributed to the stock option grant issued on 3/12/2020 and subject to a time-based vesting schedule, but should have been attributed to the stock option grant issued on 3/12/2020 and subject to performance-based vesting requirements. In addition, the amount reported takes into account a reconciliation adjustment to reflect the Reporting Person's economic interest in the shares underlying this stock option grant to comply with the terms of a domestic relations order issued in connection with a marital dissolution. 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 pre-determined operational targets over a multi-year performance period. The amount reported reflects an adjustment of 5,000 shares underlying a stock option grant reported as exercised on a Form 4 filed with the Securities and Exchange Commission on February 12, 2024. The exercise was inadvertently attributed to the stock option grant issued on 3/12/2020 and subject to a time-based vesting schedule, but should have been attributed to the stock option grant issued on 3/12/2020 and subject to performance-based vesting requirements. Diana Scherer, Attorney-in-Fact 2024-02-27