03/27/2026 | Press release | Distributed by Public on 03/27/2026 18:31
|
FORM 4
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
|
||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
|
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option (Right to Buy) | $55.18 | 03/25/2026 | A | 16,462(5) | (6) | 03/24/2032 | Common Stock | 16,462 | $ 0 | 71,475 | D | ||||
| Stock Option (Right to Buy) | $55.18 | 03/25/2026 | A | 21,955(7) | 03/25/2026 | 03/24/2032 | Common Stock | 21,955 | $ 0 | 52,668 | D | ||||
| Stock Option (Right to Buy) | $48.46 | 03/25/2026 | A | 36,751(8) | 03/25/2026 | 03/14/2033 | Common Stock | 36,751 | $ 0 | 36,751 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
|
Gilliam Joseph E C/O GLAUKOS CORPORATION ONE GLAUKOS WAY ALISO VIEJO, CA 92656 |
PRESIDENT & COO | |||
| Diana Scherer, Attorney-in-Fact | 03/27/2026 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | Represents shares of common stock underlying a portion of an award of restricted stock units previously granted by the Issuer on March 14, 2024, 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 March 25, 2026 that certain 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. 100% of the number of shares of common stock reported herein will vest and be delivered in March 2026. |
| (2) | Includes 31,962 restricted stock units that have not yet vested or been delivered to the Reporting Person. |
| (3) | 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 |
| (4) | Includes 49,754 restricted stock units that have not yet vested or been delivered to the Reporting Person. |
| (5) | 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 December 15, 2022 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. |
| (6) | 50% of the portion of the option reported herein will vest and become exercisable in March 2026. 50% of the portion of the option reported herein will vest and become exercisable in December 2026. |
| (7) | Represents a portion of an option to purchase shares of common stock previously granted by the Issuer to the Reporting Person on March 24, 2022 in connection with his promotion to President and Chief Operating Officer, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation, Nominating & Governance Committee determined on March 25, 2026 the level of achievement for the fourth year of the multi-year performance period. The number of shares of common stock subject to the stock option reported herein consists of the portion of the shares subject to the stock option that vested with respect to 100% of the fourth-year performance goal. |
| (8) | Represents shares of common stock underlying a portion of an award of restricted stock units previously granted by the Issuer on March 22, 2023, 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 March 25, 2026 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. |