0001415889-24-008356.txt : 20240318 0001415889-24-008356.hdr.sgml : 20240318 20240318195610 ACCESSION NUMBER: 0001415889-24-008356 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: Thurman Alex R. CENTRAL INDEX KEY: 0001920061 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37463 FILM NUMBER: 24760698 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] 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_110300.xml X0508 4 2024-03-14 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 2024-03-14 4 A 0 4955 0 A 58990 D Stock Option (Right to Buy) 55.18 2024-03-14 4 A 0 1830 0 A 2032-03-24 Common Stock 1830 22872 D Stock Option (Right to Buy) 49.51 2024-03-14 4 A 0 8906 0 A 2033-04-03 Common Stock 1830 8906 D Stock Option (Right to Buy) 85.78 2024-03-14 4 A 0 8591 0 A 2034-03-14 Common Stock 8591 8591 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 32,599 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 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 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 a portion of his annual bonus for 2023 in the form of stock options rather than cash (the "Bonus Election"). The Compensation Committee 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