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Glaukos (GKOS) Insider Vesting: 3,884 Shares Earned by President & COO

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Joseph E. Gilliam, President & COO of Glaukos Corporation (GKOS), reported a Form 4 transaction dated 09/18/2025. The filing shows 3,884 shares of common stock were acquired at no cash cost as the result of portion of a 2021 restricted stock unit award becoming earned after the company determined two operational targets were achieved. After the transaction, Mr. Gilliam beneficially owns 112,762 shares, which includes 64,547 restricted stock units still unvested and 167 shares purchased via the ESPP. Half of the newly earned shares will vest and be delivered on 09/23/2025 and the remainder in June 2026. The Form 4 was filed as an individual report.

Positive

  • Operational targets were met, triggering the partial earning of a 2021 performance-based restricted stock unit award
  • Clear vesting and delivery schedule disclosed: 50% on 09/23/2025 and 50% in June 2026, aiding transparency

Negative

  • None.

Insights

TL;DR: Insider received earned RSUs after operational targets were met; disclosure is procedural with limited immediate market impact.

The Form 4 documents an earned portion of a long‑dated performance RSU grant from March 18, 2021 that vested in part when two operational targets were met. Reporting the acquisition of 3,884 shares at $0 reflects compensation realization rather than an open‑market purchase or sale. The filing clarifies remaining unvested RSUs (64,547) and timing for delivery, which supports transparency around executive pay outcomes and potential future share supply to the market.

TL;DR: This is a compensation vesting event converting performance RSUs into common shares; timing and amounts are clearly disclosed.

The report specifies that a performance award from 2021 was partially earned upon achievement of specified operational targets, yielding 3,884 shares that will be delivered in two tranches (50% on 09/23/2025 and 50% in June 2026). The filing also itemizes the reporting person's total beneficial ownership of 112,762 shares, including 64,547 unvested RSUs and 167 ESPP shares. For analysts modeling dilution or insider alignment, the disclosed schedule and remaining unvested balance are directly useful.

Insider Gilliam Joseph E
Role PRESIDENT & COO
Type Security Shares Price Value
Grant/Award Common Stock 3,884 $0.00 $0.00
Holdings After Transaction: Common Stock — 112,762 shares (Direct)
Footnotes (2)
  1. F1. Represents shares of common stock underlying a portion of an award of restricted stock units previously granted by the Issuer on March 18, 2021, 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 of the Issuer's Board of Directors determined on September 18, 2025 that two 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 targets. 50% of the number of shares of common stock reported herein will vest and be delivered on September 23, 2025 and the remaining 50% will vest and be delivered in June 2026.
  2. F2. Includes 64,547 restricted stock units that have not yet vested or been delivered to the Reporting Person and 167 stock units purchased by the Reporting Person through the Issuer's Employee Stock Purchase Plan

FAQ

What did the Form 4 filed by Joseph E. Gilliam (GKOS) report?
The Form 4 reports the acquisition of 3,884 shares on 09/18/2025 as a result of partially earned performance restricted stock units.

How many shares does the reporting person beneficially own after the transaction?
After the reported transaction, the reporting person beneficially owns 112,762 shares, including unvested RSUs and ESPP shares.

How many restricted stock units remain unvested for the reporting person?
The filing states 64,547 restricted stock units remain unvested and undelivered to the reporting person.

When will the newly earned shares be delivered to the reporting person?
50% of the earned shares will vest and be delivered on 09/23/2025 and the remaining 50% will vest and be delivered in June 2026.

Were the acquired shares purchased with cash?
No; the 3,884 shares were issued at a price of $0 as settlement of performance-based RSUs.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Form 4 Insider Transactions: What Each Field Means →
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*
Gilliam Joseph E
(Last) (First) (Middle)
C/O GLAUKOS CORPORATION
ONE GLAUKOS WAY
(Street)
ALISO VIEJO CA 92656
(City) (State) (Zip)
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)
PRESIDENT & COO
3. Date of Earliest Transaction (Month/Day/Year)
09/18/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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)
Code V Amount (A) or (D) Price
Common Stock 09/18/2025 A 3,884(1) A $0 112,762(2) 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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Represents shares of common stock underlying a portion of an award of restricted stock units previously granted by the Issuer on March 18, 2021, 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 of the Issuer's Board of Directors determined on September 18, 2025 that two 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 targets. 50% of the number of shares of common stock reported herein will vest and be delivered on September 23, 2025 and the remaining 50% will vest and be delivered in June 2026.
2. Includes 64,547 restricted stock units that have not yet vested or been delivered to the Reporting Person and 167 stock units purchased by the Reporting Person through the Issuer's Employee Stock Purchase Plan
Diana Scherer, Attorney-in-Fact 09/22/2025
** 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.

Source: View Original Filing on SEC EDGAR