0001415889-23-016333.txt : 20231212 0001415889-23-016333.hdr.sgml : 20231212 20231212190142 ACCESSION NUMBER: 0001415889-23-016333 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231110 FILED AS OF DATE: 20231212 DATE AS OF CHANGE: 20231212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Burns Thomas William CENTRAL INDEX KEY: 0001644557 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 231482513 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 form4-12132023_121236.xml X0508 4 2023-11-10 0001192448 GLAUKOS Corp GKOS 0001644557 Burns Thomas William C/O GLAUKOS CORPORATION ONE GLAUKOS WAY ALISO VIEJO CA 92656 true true false false CHAIRMAN & CEO 0 Common Stock 2023-11-10 4 F 0 1034 68.83 D 53751 D Common Stock 2023-12-08 4 A 0 2084 0 A 55835 D Common Stock 893932 I Through the Burns Family Trust Common Stock 238107 I Through the Burns Annuity Trust Common Stock 120000 I Through the Burns Charitable Remainder Trust Common Stock 100000 I Through the Thomas W. Burns Irrevocable Trust Common Stock 100000 I Through the Janet M. Burns Irrevocable Trust Stock Option (Right to Buy) 55.18 2023-12-08 4 A 0 4208 0 A 2032-03-24 Common Stock 4208 48392 D Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer. Includes 45,093 restricted stock units that have not yet vested or been delivered to the Reporting Person. Represents shares of common stock underlying a portion of an award of restricted stock units 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 and Governance Committee of the Issuer's Board of Directors determined on December 8, 2023 that certain of the operational targets had been achieved. The number of shares of common stock reported herein consists of the portion of the award that was earned based upon the achievement of the operational targets. 50% of the number of shares of common stock reported herein will vest and be delivered in February 2024, and the remaining 50% will vest and be delivered in November 2024. Includes 47,177 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 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 December 8, 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 February 2024, and the remaining 50% will vest and become exercisable in November 2024. Diana Scherer, Attorney-in-Fact 2023-12-12