0001415889-23-005408.txt : 20230324 0001415889-23-005408.hdr.sgml : 20230324 20230324210310 ACCESSION NUMBER: 0001415889-23-005408 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: Thurman Alex R. CENTRAL INDEX KEY: 0001920061 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 23761269 MAIL ADDRESS: STREET 1: C/O GLAUKOS CORPORATION STREET 2: 229 AVENIDA FABRICANTE CITY: SAN CLEMENTE STATE: CA ZIP: 92672 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_010304.xml X0407 4 2023-03-22 0001192448 GLAUKOS Corp GKOS 0001920061 Thurman Alex R. C/O GLAUKOS CORPORATION ONE GLAUKOS WAY ALISO VIEJO CA 92656 false true false false SVP & CHIEF FINANCIAL OFFICER 0 Common Stock 2023-03-22 4 A 0 5406 0 A 50109 D Common Stock 2023-03-22 4 A 0 11006 0 A 61115 D Stock Option (Right to Buy) 48.46 2023-03-22 4 A 0 19601 0 A 2033-03-22 Common Stock 19601 19601 D Stock Option (Right to Buy) 55.18 2023-03-22 4 A 0 6403 0 A 2033-03-22 Common Stock 6403 6403 D Consists of restricted stock units previously granted by the Issuer on April 1, 2022 pursuant to the Reporting Person's election to receive his annual bonus for 2022 in the form of restricted stock units rather than cash (the "Bonus Election"). The Compensation, Nominating & Governance Committee determined on March 22, 2023 the annual bonus payable to the Reporting Person pursuant to the Issuer's 2022 executive bonus plan and the number of restricted stock units earned by the Reporting Person in accordance with the Bonus Election, subject to continued employment through the vesting date. The restricted stock units will vest on April 3, 2023. Includes 527 shares of common stock previously purchased by the Reporting Person pursuant to the Issuer's Employee Stock Purchase Plan. Also includes 29,820 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 40,826 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 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