Sec Form 4 Filing - Gilliam Joseph E @ GLAUKOS Corp - 2023-02-23

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

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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person Gilliam Joseph E 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 (Last) (First) (Middle) C/O GLAUKOS CORPORATION, ONE GLAUKOS WAY 3. Date of Earliest Transaction (MM/DD/YY) 02/23/2023 (Street) ALISO VIEJO, CA92656 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 02/23/2024 M 26,671 A $ 39.1 146,473 ( 1 ) D Common Stock 02/23/2024 M 74,425 A $ 41.69 220,898 ( 1 ) D Common Stock 02/23/2024 M 13,128 A $ 30.92 234,026 ( 1 ) D Common Stock 02/23/2024 M 4,607 A $ 39.1 238,633 ( 1 ) D Common Stock 02/23/2024 S 21,414 D $ 90.94 ( 2 ) 217,219 ( 1 ) D Common Stock 02/23/2024 S 114,739 D $ 92.33 ( 3 ) 102,480 ( 1 ) D Common Stock 02/23/2024 S 4,092 D $ 93.05 ( 4 ) 98,388 ( 1 ) 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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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 (MM/DD/YY) 7. Title and Amount of Underlying Securities (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 of Derivative Security: 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 Stock Option (Right to Buy) $ 41.69 02/23/2024 M 74,425 ( 5 ) 05/05/2027 Common Stock 74,425 $ 0 43,929 ( 6 ) D Stock Option (Right to Buy) $ 30.92 02/23/2024 M 13,128 ( 7 ) 03/14/2028 Common Stock 13,128 $ 0 0 ( 6 ) D Stock Option (Right to Buy) $ 39.1 02/23/2024 M 26,671 ( 8 ) 03/12/2030 Common Stock 26,671 $ 0 1,053 ( 9 ) D Stock Option (Right to Buy) $ 39.1 02/23/2024 M 4,607 ( 10 ) 03/12/2030 Common Stock 4,607 $ 0 0 ( 11 ) D

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Gilliam Joseph E C/O GLAUKOS CORPORATION ONE GLAUKOS WAY ALISO VIEJO, CA92656 PRESIDENT & COO Signatures Diana Scherer, Attorney-in-Fact 02/27/2024 Signature of Reporting Person Date

Explanation of Responses:

( 1 )Includes 81,885 restricted stock units that have not yet vested or been delivered to the Reporting Person. ( 2 )This transaction was executed in multiple trades at prices ranging from $90.37 to $91.02. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. ( 3 )This transaction was executed in multiple trades at prices ranging from $91.79 to $92.76. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. ( 4 )This transaction was executed in multiple trades at prices ranging from $92.80 to $93.45. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. ( 5 )This option was granted on May 5, 2017 and had a four-year vesting schedule in which 25% vested on the first anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vested in full on the four-year anniversary of the grant date. ( 6 )The amount reported takes into account a reconciliation adjustment to reflect the Reporting Person's economic interest in the shares underlying this stock option grant to comply with the terms of a domestic relations order issued in connection with a marital dissolution. ( 7 )This option was granted on March 14, 2018 and had a four-year vesting schedule in which 25% vested on the first anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vested in full on the four-year anniversary of the grant date. ( 8 )This option was granted on March 12, 2020 and has a four-year vesting schedule in which 25% vested on the first anniversary of the grant date and theremainder vests 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. ( 9 )The amount reported reflects an adjustment of 5,000 shares underlying a stock option grant reported as exercised on a Form 4 filed with the Securities and Exchange Commission on February 12, 2024. The exercise was inadvertently attributed to the stock option grant issued on 3/12/2020 and subject to a time-based vesting schedule, but should have been attributed to the stock option grant issued on 3/12/2020 and subject to performance-based vesting requirements. In addition, the amount reported takes into account a reconciliation adjustment to reflect the Reporting Person's economic interest in the shares underlying this stock option grant to comply with the terms of a domestic relations order issued in connection with a marital dissolution. ( 10 )Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 12, 2020, the vesting of which was subject to the Issuer's achievement of certain pre-determined operational targets over a multi-year performance period. ( 11 )The amount reported reflects an adjustment of 5,000 shares underlying a stock option grant reported as exercised on a Form 4 filed with the Securities and Exchange Commission on February 12, 2024. The exercise was inadvertently attributed to the stock option grant issued on 3/12/2020 and subject to a time-based vesting schedule, but should have been attributed to the stock option grant issued on 3/12/2020 and subject to performance-based vesting requirements.

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