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  4. [Form 4] GLAUKOS Corp Insider Trading Activity

Glaukos (NYSE: GKOS) CFO gets new equity awards and sells shares

Filing Impact
(High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Glaukos Corp SVP & CFO Alex R. Thurman reported a mix of equity awards and a small share sale. He sold 2,511 shares of common stock at $106.46 per share under a pre-arranged Rule 10b5-1 trading plan adopted on December 15, 2025. He received stock options for 8,228 shares at an exercise price of $55.18 expiring in 2032 and 20,515 shares at $109.60 expiring in 2036, along with other performance-based option portions that became earned after operational targets were achieved. He also acquired 3,303 shares of common stock from a performance-based restricted stock unit award. Following these transactions, he directly owns 45,270 shares of common stock, including unvested restricted stock units, indicating the sale is small relative to his overall equity position.

Positive

  • None.

Negative

  • None.
Insider Thurman Alex R.
Role SVP & CHIEF FINANCIAL OFFICER
Sold 2,511 shs ($267K)
Type Security Shares Price Value
Grant/Award Stock Option (Right to Buy) 8,228 $0.00 --
Grant/Award Stock Option (Right to Buy) 20,515 $0.00 --
Sale Common Stock 2,511 $106.46 $267K
Grant/Award Common Stock 3,303 $0.00 --
Grant/Award Stock Option (Right to Buy) 19,601 $0.00 --
Holdings After Transaction: Stock Option (Right to Buy) — 45,738 shares (Direct); Common Stock — 41,967 shares (Direct)
Footnotes (1)
  1. 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. Includes 5,230 restricted stock units that have not yet vested or been delivered to the Reporting Person. Represents shares of common stock underlying a portion of an award of restricted stock units previously granted by the Issuer on March 14, 2024, the earning and 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 25, 2026 that certain 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 target. 50% of the number of shares of common stock reported herein will vest and be delivered in March 2026 and 50% will vest and be delivered in December 2026. Includes 8,533 restricted stock units that have not yet vested or been delivered to the Reporting Person. 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 and Governance Committee of the Issuer's Board of Directors determined on March 25, 2026 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. 50% of the portion of the option reported herein will vest and become exercisable in March 2026. 50% of the portion of the option reported herein will vest and become exercisable in December 2026. Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 22, 2023, 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 25, 2026 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. This option was granted on March 25, 2026 and has a four-year vesting schedule in which 25% vests on the first anniversary of the grant date and the remainder 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.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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).
X
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)
Director10% Owner
XOfficer (give title below)Other (specify below)
SVP & CHIEF FINANCIAL OFFICER
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
03/25/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock03/25/2026S(1)2,511D$106.4641,967(2)D
Common Stock03/25/2026A3,303(3)A$045,270(4)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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (Right to Buy)$55.1803/25/2026A8,228(5) (6)03/24/2032Common Stock8,228$045,738D
Stock Option (Right to Buy)$48.4603/25/2025A19,601(7)03/25/202603/25/2036Common Stock19,601$019,601D
Stock Option (Right to Buy)$109.603/25/2026A20,515 (8)03/25/2036Common Stock20,515$020,515D
Explanation of Responses:
1. 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.
2. Includes 5,230 restricted stock units that have not yet vested or been delivered to the Reporting Person.
3. Represents shares of common stock underlying a portion of an award of restricted stock units previously granted by the Issuer on March 14, 2024, the earning and 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 25, 2026 that certain 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 target. 50% of the number of shares of common stock reported herein will vest and be delivered in March 2026 and 50% will vest and be delivered in December 2026.
4. Includes 8,533 restricted stock units that have not yet vested or been delivered to the Reporting Person.
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 and Governance Committee of the Issuer's Board of Directors determined on March 25, 2026 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 March 2026. 50% of the portion of the option reported herein will vest and become exercisable in December 2026.
7. Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 22, 2023, 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 25, 2026 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.
8. This option was granted on March 25, 2026 and has a four-year vesting schedule in which 25% vests on the first anniversary of the grant date and the remainder 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.
Diana Scherer, Attorney-in-Fact03/27/2026
** Signature of Reporting PersonDate
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?

Alex R. Thurman, SVP & Chief Financial Officer of Glaukos (GKOS), reported a small open-market sale of common stock and multiple equity awards, including stock options and performance-based restricted stock units, reflecting routine executive compensation and portfolio activity disclosed in this insider filing.

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

The CFO sold 2,511 shares of Glaukos common stock at $106.46 per share. The filing notes the sale was executed pursuant to a Rule 10b5-1 trading plan, indicating it was pre-scheduled rather than a discretionary trade based on short-term market conditions.

What new stock options did the Glaukos (GKOS) CFO receive?

The CFO received stock options covering 8,228 shares at an exercise price of $55.18 expiring in 2032 and 20,515 shares at $109.60 expiring in 2036. Portions of earlier performance-based option grants also became earned after Glaukos met specified multi-year operational targets.

What restricted stock units were involved in this Glaukos (GKOS) Form 4?

The filing shows a grant of 3,303 shares of common stock tied to a performance-based restricted stock unit award. The board committee determined certain operational targets were achieved, causing this portion to be earned, with vesting split between March 2026 and December 2026 delivery dates.

Were the Glaukos (GKOS) CFO’s share sales pre-planned under Rule 10b5-1?

Yes. A footnote states the reported sales were executed under a Rule 10b5-1 trading plan adopted on December 15, 2025. Such plans allow insiders to schedule trades in advance, helping separate routine liquidity events from timing decisions based on undisclosed information.

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

After the reported transactions, the CFO directly owns 45,270 shares of Glaukos common stock. Footnotes indicate this figure includes unvested restricted stock units, showing that despite the sale, he maintains a substantial continuing equity stake aligned with shareholders’ longer-term interests.