Thomas W. Burns - 06 Aug 2021 Form 4 Insider Report for GLAUKOS Corp (GKOS)

Role: Chief Executive Officer, Director
Signature: Diana Scherer, Attorney-in-Fact
Issuer symbol: GKOS
Transactions as of: 06 Aug 2021
Net transactions value: +$1,273,068
Form type: 4
Filing time: 09 Aug 2021, 20:26:18 UTC
Previous filing: 11 Jun 2021
Next filing: 07 Jan 2022
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	GKOS	Common Stock	Options Exercise	$1,127,568	+266,880	+77%	$4.22^*	615,062	06 Aug 2021	Direct	F1
transaction	GKOS	Common Stock	Options Exercise	$145,500	+20,000	+3.3%	$7.28^*	635,062	06 Aug 2021	Direct	F1
holding	GKOS	Common Stock						277,847	06 Aug 2021	Through the Burns Family Trust
holding	GKOS	Common Stock						238,107	06 Aug 2021	Through the Burns Annuity Trust
holding	GKOS	Common Stock						120,000	06 Aug 2021	Through the Burns Charitable Remainder Trust
holding	GKOS	Common Stock						100,000	06 Aug 2021	Through the Thomas W. Burns Irrevocable Trust
holding	GKOS	Common Stock						100,000	06 Aug 2021	Through the Janet M. Burns Irrevocable Trust

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	GKOS	Stock Options (Right to Buy)	Options Exercise	$0	-256,000	-100%	$0.000000^*	0	06 Aug 2021	Common Stock	256,000	$4.22	Direct	F2
transaction	GKOS	Stock Options (Right to Buy)	Options Exercise	$0	-10,880	-100%	$0.000000^*	0	06 Aug 2021	Common Stock	10,880	$4.22	Direct	F3
transaction	GKOS	Stock Options (Right to Buy)	Options Exercise	$0	-20,000	-3.7%	$0.000000	520,000	06 Aug 2021	Common Stock	20,000	$7.28	Direct	F4

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Includes 65,471 restricted stock units that have not yet vested or been delivered to the Reporting Person.
F2	This option was granted on January 29, 2013 and has a four-year vesting schedule in which 25% vested on the first year anniversary of the grant date and the remainder vested 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.
F3	This option was granted on April 25, 2013 and has a four-year vesting schedule in which 25% vested on the first year anniversary of the grant date and the remainder vested 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.
F4	This option was granted on July 10, 2014 and has a four-year vesting schedule in which 25% vested on the first year anniversary of the grant date and the remainder vested 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.