Form Type: 4

SEC EDGAR Link
Accession Number:0001104659-21-039873
Date:2021-03-18
Issuer: GLAUKOS CORP (GKOS)
Original Submission Date:

Reporting Person:

GILLIAM JOSEPH E
C/O GLAUKOS CORPORATION
229 AVENIDA FABRICANTE SAN CLEMENTE, CA 92672

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-03-18 A 15,499 a $0.00 58,301 direct
COMMON STOCK 2021-03-22 F 562 d $89.22 57,739 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTIONS (RIGHT TO BUY) 39.1 2021-03-18 deemed execution date A 6,839 (a) 2021-03-18 2030-03-12 common stock 6,839 $39.10 6,839 direct
Footnotes
IDfootnote
f1 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.
f2 includes 36,606 restricted stock units that have not yet vested or been delivered to the reporting person.
f3 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 on march 14, 2019.
f4 includes 35,517 restricted stock units that have not yet vested or been delivered to the reporting person.
f5 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 multi-year performance goals. the compensation committee of the issuer's board of directors (the "compensation committee") determined on march 18, 2021 the level of achievement for the first year of the multi-year performance period. the number of shares of common stock subject to the stock option as reported herein consists of the portion of the award that vested based upon the achievement with respect to the first-year performance goal.
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