Glaukos (NYSE: GKOS) CFO withholds 1,589 shares for RSU tax obligations

Filing Impact

(High)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

GLAUKOS Corp Senior Vice President and Chief Financial Officer Alex R. Thurman reported a routine tax-related share disposition. On the vesting and delivery of previously granted restricted stock units, the company withheld 1,589 shares of common stock to satisfy his tax withholding obligations.

After this non-market transaction, Thurman directly holds 43,681 shares of common stock. Footnotes also state he has 5,230 restricted stock units that have not yet vested or been delivered, indicating additional potential future equity awards.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Thurman Alex R.

Role SVP & CHIEF FINANCIAL OFFICER

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock	1,589	$109.60	$174K

Holdings After Transaction: Common Stock — 43,681 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 14, 2024. Includes 5,230 restricted stock units that have not yet vested or been delivered to the Reporting Person.

Key Figures

Tax-withheld shares: 1,589 shares Withholding reference price: $109.60 per share Shares held after transaction: 43,681 shares +2 more

5 metrics

Tax-withheld shares 1,589 shares Shares withheld for tax obligations on RSU vesting

Withholding reference price $109.60 per share Price used for tax-withholding disposition of common stock

Shares held after transaction 43,681 shares Common stock directly owned by CFO after withholding

Unvested RSUs 5,230 units Restricted stock units not yet vested or delivered

Transaction date 2026-04-02 Date of tax-withholding disposition

Key Terms

restricted stock units, tax withholding obligations, vesting and delivery, Form 4

4 terms

restricted stock units financial

"underlying restricted stock units previously granted by the Issuer on March 14, 2024."

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

tax withholding obligations financial

"shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person"

vesting and delivery financial

"upon vesting and delivery of shares of common stock underlying restricted stock units"

Form 4 regulatory

"INSIDER FILING DATA (Form 4):"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

Form 4 Insider Transactions: What Each Field Means →

04/03/2026 - 09:22 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)
04/02/2026

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	04/02/2026		F		1,589⁽¹⁾	D	$109.6	43,681⁽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)
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 14, 2024.

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

	Diana Scherer, Attorney-in-Fact	04/03/2026
	** 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 a tax-related share disposition. The company withheld 1,589 common shares to cover his tax obligations upon vesting of restricted stock units granted on March 14, 2024, rather than an open-market sale.

How many GLAUKOS (GKOS) shares were withheld for taxes from the CFO?

The issuer withheld 1,589 GLAUKOS common shares from CFO Alex R. Thurman. These shares covered tax withholding obligations triggered when restricted stock units vested and were delivered, as described in the filing’s footnotes, instead of him selling shares on the open market.

How many GLAUKOS (GKOS) shares does the CFO hold after this transaction?

After the tax-withholding transaction, CFO Alex R. Thurman directly holds 43,681 GLAUKOS common shares. This figure reflects his position following the 1,589-share withholding event and helps show the scale of the disposition relative to his remaining equity stake.

Does the GLAUKOS (GKOS) CFO still have unvested restricted stock units?

Yes. The filing states Alex R. Thurman has 5,230 restricted stock units that have not yet vested or been delivered. These units represent additional potential future GLAUKOS common shares, contingent on meeting the applicable vesting conditions described in prior grant documents.

Was the GLAUKOS (GKOS) CFO’s Form 4 transaction an open-market sale?

No. The Form 4 labels the transaction with code F, meaning shares were withheld to pay taxes. The issuer retained 1,589 shares to satisfy Alex R. Thurman’s tax withholding obligations upon RSU vesting, rather than him selling shares to third-party buyers.