Was the Glaukos (GKOS) CFO’s share sale made under a Rule 10b5-1 plan?

Yes. The sale of 1,521 shares on March 24, 2026 was effected under a Rule 10b5-1 trading plan. The plan was adopted by the CFO on December 15, 2025, indicating the transaction was pre-scheduled rather than a discretionary same-day trading decision.

Glaukos (NYSE: GKOS) CFO sale and tax share withholdings detailed

Filing Impact

(Very High)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

Glaukos Corp Senior Vice President and Chief Financial Officer Alex R. Thurman reported recent stock transactions. On March 24, he sold 1,521 shares of common stock in an open-market trade at an average price of $105.24 per share under a pre-arranged Rule 10b5-1 trading plan adopted on December 15, 2025. Following these transactions, he directly holds 44,478 shares of common stock, and his holdings also include restricted stock units that have not yet vested or been delivered, as described in the footnotes. Additional dispositions of 2,020 shares on March 24 and 1,230 shares on March 23 were shares withheld by the company to cover tax obligations upon vesting of restricted stock units granted in 2023 and 2022.

Insider Trade Summary 10b5-1

Net Seller: 1,521 shares ($160,070)

Net Sell 3 txns

Insider Thurman Alex R.

Role SVP & CHIEF FINANCIAL OFFICER

Sold 1,521 shs ($160K)

Type	Security	Shares	Price	Value
Sale	Common Stock	1,521	$105.24	$160K
Tax Withholding	Common Stock	2,020	$105.23	$213K
Tax Withholding	Common Stock	1,230	$106.84	$131K

Holdings After Transaction: Common Stock — 46,498 shares (Direct)

Footnotes (1)

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 22, 2023. Includes 9,761 restricted stock units that have not yet vested or been delivered to the Reporting Person. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2025. 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 24, 2022. Includes 5,230 restricted stock units that have not yet vested or been delivered to the Reporting Person.

Form 4 Insider Transactions: What Each Field Means →

03/25/2026 - 08:40 PM

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

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^*

Thurman Alex R.

(Last)

(First)

(Middle)

C/O GLAUKOS CORPORATION

ONE GLAUKOS WAY

(Street)

ALISO VIEJO

CALIFORNIA

92656

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
GLAUKOS Corp [ GKOS ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	SVP & CHIEF FINANCIAL OFFICER

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
03/23/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	03/23/2026		F		1,230⁽¹⁾	D	$106.84	48,019⁽²⁾	D
Common Stock	03/24/2026		S⁽³⁾		1,521	D	$105.24	46,498⁽²⁾	D
Common Stock	03/24/2026		F		2,020⁽⁴⁾	D	$105.23	44,478⁽⁵⁾	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. 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 22, 2023.

2. Includes 9,761 restricted stock units that have not yet vested or been delivered to the Reporting Person.

3. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2025.

4. 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 24, 2022.

5. Includes 5,230 restricted stock units that have not yet vested or been delivered to the Reporting Person.

	Diana Scherer, Attorney-in-Fact	03/25/2026
	** Signature of Reporting Person	Date
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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did Glaukos (GKOS) CFO Alex R. Thurman report in this Form 4?

Glaukos CFO Alex R. Thurman reported an open-market sale of 1,521 common shares and two tax-related share withholdings. These transactions reflect both discretionary trading under a plan and automatic share withholding tied to vesting of previously granted restricted stock units.

How many Glaukos (GKOS) shares did the CFO sell and at what price?

The CFO sold 1,521 shares of Glaukos common stock in an open-market transaction at an average price of $105.24 per share. This sale was executed on March 24, 2026 under a pre-arranged Rule 10b5-1 trading plan adopted in December 2025.

Were any Glaukos (GKOS) shares disposed of for tax withholding purposes?

Yes. A total of 3,250 shares were withheld by Glaukos to satisfy the CFO’s tax obligations upon vesting of restricted stock units. These comprised 2,020 shares tied to a 2023 grant and 1,230 shares tied to a 2022 grant, according to the footnotes.

How many Glaukos (GKOS) shares does the CFO hold after these transactions?

After the reported transactions, the CFO directly holds 44,478 shares of Glaukos common stock. Footnotes also state that his position includes additional restricted stock units that have not yet vested or been delivered, providing further potential equity exposure over time.

What is the nature of the Glaukos (GKOS) restricted stock units mentioned for the CFO?

Footnotes explain that some shares were withheld for taxes upon vesting of restricted stock units granted in 2022 and 2023. They also note that thousands of restricted stock units remain unvested, which may deliver additional shares to the CFO as vesting conditions are met.