0001415889-24-008354.txt : 20240318 0001415889-24-008354.hdr.sgml : 20240318 20240318195515 ACCESSION NUMBER: 0001415889-24-008354 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240314 FILED AS OF DATE: 20240318 DATE AS OF CHANGE: 20240318 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Burns Thomas William CENTRAL INDEX KEY: 0001644557 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 24760696 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] 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 form4-03182024_110309.xml X0508 4 2024-03-14 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 2024-03-14 4 A 0 2084 0 A 57522 D Common Stock 2024-03-14 4 A 0 15418 0 A 72940 D Common Stock 2024-03-14 4 A 0 21275 0 A 94215 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 2024-03-14 4 A 0 4208 0 A 2032-03-24 Common Stock 4208 52600 D Stock Option (Right to Buy) 49.51 2024-03-14 4 A 0 56404 0 A 2033-04-03 Common Stock 56404 56404 D Stock Option (Right to Buy) 85.78 2024-03-14 4 A 0 36891 0 A 2034-03-14 Common Stock 36891 36891 D 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 earning and 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 (the "Compensation Committee") determined on March 14, 2024 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 March 2024, and the remaining 50% will vest and be delivered in December 2024. Includes 48,462 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 18, 2021, the earning and vesting of which was subject to the Issuer's achievement of certain pre-determined operational targets over a multi-year performance period. The Compensation Committee determined on March 14, 2024 that one of the operational targets had been achieved. The number of shares reported herein consists of the portion of the award that was deemed earned based upon the achievement of the operational target. 50% of the number of shares of common stock reported herein will vest and be delivered in March 2024 and the remaining 50% will vest and be delivered in December 2024. Includes 63,880 restricted stock units that have not yet vested or delivery of which has been deferred by 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 85,155 restricted stock units that have not yet vested or delivery of which has been deferred by 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 Committee determined on March 14, 2024 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 March 2024, and the remaining 50% will vest and become exercisable in December 2024. Represents an option to purchase shares of common stock previously granted by the Issuer on April 3, 2023 pursuant to the Reporting Person's election to receive his annual bonus for 2023 in the form of stock options rather than cash (the "Bonus Election"). The Issuer's Board of Directors determined on March 14, 2024 the annual bonus payable to the Reporting Person pursuant to the Issuer's 2023 executive bonus plan and the number of shares of common stock subject to the stock option earned by the Reporting Person in accordance with the Bonus Election, subject to continued employment through the vesting date. The option to purchase common stock will vest on April 1, 2024. This option was granted on March 14, 2024 and has a four-year vesting schedule in which 25% vests 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. Diana Scherer, Attorney-in-Fact 2024-03-18