# EDGAR Filing Document

**Accession Number:** 0001644557
**File Stem:** 0001415889-23-005412
**Filing Date:** 2023-3
**Character Count:** 8640
**Document Hash:** cdff982d2093e89dde60d15e2b1a3edb
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001415889-23-005412.hdr.sgml**: 20230324

**ACCESSION NUMBER**: 0001415889-23-005412

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230322

**FILED AS OF DATE**: 20230324

**DATE AS OF CHANGE**: 20230324

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Burns Thomas William
- **CENTRAL INDEX KEY:** 0001644557

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37463
- **FILM NUMBER:** 23761275

**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]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 229 AVENIDA FABRICANTE
- **CITY:** SAN CLEMENTE
- **STATE:** CA
- **ZIP:** 92672
- **BUSINESS PHONE:** 949-367-9600

**MAIL ADDRESS:**
- **STREET 1:** 229 AVENIDA FABRICANTE
- **CITY:** SAN CLEMENTE
- **STATE:** CA
- **ZIP:** 92672

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** GLAUKOS CORP
- **DATE OF NAME CHANGE:** 20020925

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Burns Thomas William<br><sub>(Last) (First) (Middle)</sub><br>C/O GLAUKOS CORPORATION<br>ONE GLAUKOS WAY<br><sub>(Street)</sub><br>ALISO VIEJO, CA 92656<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-22 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_CHAIRMAN & CEO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>GLAUKOS Corp [ GKOS ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-03-22 |  | A |  | 7294<sup>(1)</sup> | A | $0 | 679595<sup>(2)</sup> | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Stock Option (Right to Buy) | $48.46 | 2023-03-22 |  | A |  | 110254 |  | <sup>(3)</sup> | 2033-03-22 | Common Stock | 110254 | $0 | 110254 | D |  |
| Stock Option (Right to Buy) | $60.78 | 2023-03-22 |  | A |  | 7258<sup>(4)</sup> |  | 2023-04-03 | 2032-03-24 | Common Stock | 7258 | $0 | 7258 | D |  |
| Stock Option (Right to Buy) | $55.18 | 2023-03-22 |  | A |  | 14727<sup>(5)</sup> |  | <sup>(6)</sup> | 2032-03-24 | Common Stock | 14727 | $0 | 14727 | D |  |

---

### Footnotes:

(1) 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 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 22, 2023 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 April 2023, and the remaining 50% will vest and be delivered in January 2024.

(2) Includes 67,282 restricted stock units that have not yet vested or been delivered to the Reporting Person.

(3) These options vest over four years from the grant date, with 25% vesting on the first anniversary of the grant date and the remaining amount vesting in equal monthly installments over the following three years.

(4) Represents an option to purchase shares of common stock previously granted by the Issuer on April 1, 2022 pursuant to the Reporting Person's election to receive a portion of his annual bonus for 2022 in the form of stock options rather than cash (the "Bonus Election"). The Issuer's Board of Directors determined on March 22, 2023 the annual bonus payable to the Reporting Person pursuant to the Issuer's 2022 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 3, 2023.

(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, Nominating & Governance Committee determined on March 22, 2023 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 April 2023, and the remaining 50% will vest and become exercisable in January 2024.

**Signature:** Diana Scherer, Attorney-in-Fact  
**Date:** 2023-03-24

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* 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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**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 Number.**