GKOS

SEC source: 0001104659-21-001755 · a4.xml · nonDerivative · entry 1

Stapley Marc · CIK 0001539796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,682

F1 · security: Represents a grant of restricted stock units received by the reporting person in lieu of annual director retainer fees pursuant to a stock-for-fees election under the Issuer's Director Compensation Policy. The units will vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 5,084 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-21-001753 · a4.xml · nonDerivative · entry 1

Foley Mark J · CIK 0001529196 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,370

F1 · security: Represents a grant of restricted stock units received by the reporting person in lieu of annual director retainer fees pursuant to a stock-for-fees election under the Issuer's Director Compensation Policy. The units will vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 5,084 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-20-137561 · a4.xml · nonDerivative · entry 2

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,067

F3 · security: Granted by the Issuer in the form of restricted stock units which vest over a three-year period, with one-third to vest on each anniversary of the grant date.

F4 · balance_after: Includes 47,003 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-20-137560 · a4.xml · nonDerivative · entry 2

Calcaterra Chris M. · CIK 0001640771 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,806

F3 · security: Granted by the Issuer in the form of restricted stock units which vest over a three-year period, with one-third to vest on each anniversary of the grant date.

F4 · balance_after: Includes 5,967 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-20-138176 · a4.xml · nonDerivative · entry 2

Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,802

F3 · kind: In order to comply with the terms of a domestic relations order ("DRO") in connection with a marital dissolution, the Reporting Person's former spouse now holds the economic interest, and the Reporting Person no longer has any pecuniary interest, in the following securities: (i) 1,956 shares of common stock of the Issuer and (2) 113 restricted stock units that have not yet vested or been delivered to the Reporting Person, which were reported above as directly owned by the Reporting Person. While the Reporting Person retains possession of the common stock and restricted stock units until they are sold in connection with the DRO, the Reporting Person's former spouse will receive the economic benefits from, and the Reporting Person will have no discretion with respect to, such securities. (Continued in footnote 4)

F4 · kind: Accordingly, the Reporting Person will not report beneficial ownership or dispositions of these securities (including restricted stock units) in future Section 16(a) reports, including to the extent such securities are sold pursuant to a Rule 10b5-1 trading plan that may be adopted by the Reporting Person that includes these securities. Likewise, the number of shares of common stock of the Issuer that may be reported as withheld to satisfy tax obligations in Table 1 will not include the shares withheld with respect to the portion of the restricted stock units representing the former spouse's economic interest.

F5 · balance_after: Includes 21,107 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-20-138176 · a4.xml · nonDerivative · entry 1

Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,871

F1 · security: Granted by the Issuer in the form of restricted stock units which vest over a three-year period, with one-third to vest on each anniversary of the grant date.

F2 · balance_after: Includes 21,220 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-20-137580 · a4.xml · nonDerivative · entry 1

Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,707

F1 · shares: Represents shares of common stock subject to a performance-based restricted stock unit award previously granted by the Issuer on March 14, 2019, the vesting of which was subject to the Issuer's achievement of certain performance goals within three years of the grant date. The Compensation Committee of the Issuer's Board of Directors determined on December 16, 2020 that the performance goals had been achieved. The number of shares of common stock reported consists of the 6,311 shares underlying the restricted stock units originally granted less 3,129 shares withheld by the Issuer with respect to income taxes payable by the Reporting Person upon the vesting and delivery of the shares of common stock underlying these restricted stock units. The number of common stock reported also includes 459 shares that were acquired by the Reporting Person in July 2020 pursuant to the Issuer's Employee Stock Purchase Plan.

F2 · balance_after: Includes 20,056 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-20-137561 · a4.xml · nonDerivative · entry 1

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315,678

F1 · shares: Represents shares of common stock subject to a performance-based restricted stock unit award previously granted by the Issuer on March 14, 2019, the vesting of which was subject to the Issuer's achievement of certain performance goals within three years of the grant date. The Compensation Committee of the Issuer's Board of Directors determined on December 16, 2020 that the performance goals had been achieved. The number of shares of common stock reported consists of the 19,416 shares underlying the restricted stock units originally granted less 9,627 shares withheld by the Issuer with respect to income taxes payable by the Reporting Person upon the vesting and delivery of the shares of common stock underlying these restricted stock units.

F2 · balance_after: Includes 44,614 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-20-137560 · a4.xml · nonDerivative · entry 1

Calcaterra Chris M. · CIK 0001640771 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,573

F1 · shares: Represents shares of common stock subject to a performance-based restricted stock unit award previously granted by the Issuer on March 14, 2019, the vesting of which was subject to the Issuer's achievement of certain performance goals within three years of the grant date. The Compensation Committee of the Issuer's Board of Directors determined on December 16, 2020 that the performance goals had been achieved. The number of shares of common stock reported consists of the 6,311 shares underlying the restricted stock units originally granted less 2,183 shares withheld by the Issuer with respect to income taxes payable by the Reporting Person upon the vesting and delivery of the shares of common stock underlying these restricted stock units.

F2 · balance_after: Includes 4,734 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-20-132117 · a4.xml · derivative · entry 9

LINK WILLIAM J PHD · CIK 0001228684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2026-06-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_date: Granted June 2, 2016 pursuant to the Issuer's 2015 Omnibus Incentive Compensation Plan. Vests in full on the one-year anniversary of the grant date.

SEC source: 0001104659-20-132117 · a4.xml · derivative · entry 8

LINK WILLIAM J PHD · CIK 0001228684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2025-07-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_date: Granted on July 23, 2015 pursuant to the Issuer's 2015 Stock Plan. Vests annually over a three-year period such that it is vested in full on the three-year anniversary of the grant date.

SEC source: 0001104659-20-132117 · a4.xml · derivative · entry 7

LINK WILLIAM J PHD · CIK 0001228684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2024-07-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: Granted July 10, 2014 pursuant to the Issuer's 2011 Stock Plan. Vests annually over a three-year period such that it is vested in full on the three-year anniversary of the grant date.

SEC source: 0001104659-20-132117 · a4.xml · nonDerivative · entry 5

LINK WILLIAM J PHD · CIK 0001228684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,439

F3 · price: This transaction was executed in multiple trades at prices ranging from $68.68 to $68.785. 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.

F1 · balance_after: Includes 6,013 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-20-132117 · a4.xml · nonDerivative · entry 4

LINK WILLIAM J PHD · CIK 0001228684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,039

F2 · price: This transaction was executed in multiple trades at prices ranging from $67.68 to $68.675. 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.

F1 · balance_after: Includes 6,013 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-20-132117 · a4.xml · nonDerivative · entry 3

LINK WILLIAM J PHD · CIK 0001228684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,439

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 6,013 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-20-132117 · a4.xml · nonDerivative · entry 2

LINK WILLIAM J PHD · CIK 0001228684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,439

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 6,013 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-20-132117 · a4.xml · nonDerivative · entry 1

LINK WILLIAM J PHD · CIK 0001228684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,439

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 6,013 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-019059 · form4.xml · nonDerivative · entry 1

Hoffmeister David F · CIK 0001305975 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,648

F1 · security: Granted by the Issuer in the form of restricted stock units that vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 5,062 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-019063 · form4.xml · nonDerivative · entry 1

Kliman Gilbert H · CIK 0001293171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,734

F1 · security: Granted by the Issuer in the form of restricted stock units that vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 3,900 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-019057 · form4.xml · nonDerivative · entry 1

LINK WILLIAM J PHD · CIK 0001228684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,439

F1 · security: Granted by the Issuer in the form of restricted stock units that vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 6,013 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-019055 · form4.xml · nonDerivative · entry 1

WEISNER AIMEE S · CIK 0001227308 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,525

F1 · security: Granted by the Issuer in the form of restricted stock units that vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 5,062 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-019061 · form4.xml · nonDerivative · entry 1

Foley Mark J · CIK 0001529196 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,186

F1 · security: Granted by the Issuer in the form of restricted stock units that vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 3,900 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-019053 · form4.xml · nonDerivative · entry 1

Stapley Marc · CIK 0001539796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,498

F1 · security: Granted by the Issuer in the form of restricted stock units that vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 5,273 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-018017 · form4.xml · derivative · entry 11

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 68,847 shares

Expires 2021-04-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.

F6 · derivative.exercise_date: This option was granted on April 28, 2011 and has a four-year vesting schedule in which 25% vested on the first year anniversary date of the grant and the remainder vested 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.

SEC source: 0001127602-20-018017 · form4.xml · derivative · entry 10

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 138,600 shares

Expires 2021-01-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.

F5 · derivative.exercise_date: This option was granted on January 27, 2011 and has a four-year vesting schedule in which 25% vested on the first year anniversary date of the grant and the remainder vested 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.

SEC source: 0001127602-20-018017 · form4.xml · nonDerivative · entry 4

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,889

F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.

F4 · price: This transaction was executed in multiple trades at prices ranging from $39.60 to $39.83. 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.

F2 · balance_after: Includes 44,614 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-018017 · form4.xml · nonDerivative · entry 3

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 319,347

F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.

F3 · price: This transaction was executed in multiple trades at prices ranging from $38.60 to $39.59. 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.

F2 · balance_after: Includes 44,614 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-018017 · form4.xml · nonDerivative · entry 2

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 513,336

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.

F2 · balance_after: Includes 44,614 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-018017 · form4.xml · nonDerivative · entry 1

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 444,489

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.

F2 · balance_after: Includes 44,614 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-017842 · form4.xml · derivative · entry 10

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,847

Underlying: Common Stock · 200 shares

Expires 2021-04-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.

F5 · derivative.exercise_date: This option was granted on April 28, 2011 and has a four-year vesting schedule in which 25% vested on the first year anniversary date of the grant and the remainder vested 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.

SEC source: 0001127602-20-017842 · form4.xml · derivative · entry 9

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,600

Underlying: Common Stock · 200 shares

Expires 2021-01-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.

F4 · derivative.exercise_date: This option was granted on January 27, 2011 and has a four-year vesting schedule in which 25% vested on the first year anniversary date of the grant and the remainder vested 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.

SEC source: 0001127602-20-017842 · form4.xml · nonDerivative · entry 3

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,889

F2 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.

F3 · price: This transaction was executed in multiple trades at prices ranging from $38.01 to $38.09. 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.

F1 · balance_after: Includes 44,614 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-017842 · form4.xml · nonDerivative · entry 2

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 306,289

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 44,614 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-017842 · form4.xml · nonDerivative · entry 1

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 306,089

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 44,614 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-016311 · form4.xml · nonDerivative · entry 2

Kliman Gilbert H · CIK 0001293171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 834

F3 · kind: Represents pro rata in-kind distribution by IMP10 without consideration to the Reporting Person, as one of its members, in accordance with the terms of the InterWest Management Partners X, LLC Operating Agreement.

SEC source: 0001127602-20-016311 · form4.xml · nonDerivative · entry 1

Kliman Gilbert H · CIK 0001293171 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By InterWest Partners X, LP

Disclosed balance after: 633,917

F1 · kind: Represents pro rata in-kind distribution by InterWest Partners X, LP ("IP10") without consideration to its limited and general partners in accordance with the terms of the InterWest Partners X, LP Limited Partnership Agreement, including shares distributed to InterWest Management Partners X, LLC ("IMP10") its general partner.

F2 · ownership.nature: Consists of shares owned by InterWest Partners X, LP ("IP10"). The Reporting Person is a Managing Director of IMP10, the general partner of IP10. The Reporting Person has shared voting and investment control over shares owned by IP10, and disclaims beneficial ownership of those securities, except to the extent of his pecuniary interest therein.

SEC source: 0001127602-20-015838 · form4.xml · nonDerivative · entry 1

Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,066

F1 · shares: Consists of shares withheld by the Issuer with respect to income taxes payable by the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on May 5, 2017, with the vesting schedule in four equal installments on May 5, 2018, May 5, 2019, May 5, 2020 and May 5, 2021.

F2 · balance_after: Includes 20,056 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-013280 · form4.xml · nonDerivative · entry 1

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,889

F1 · shares: Consists of shares withheld by the Issuer with respect to income taxes payable by the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on April 1, 2019.

F2 · balance_after: Includes 44,614 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-013279 · form4.xml · nonDerivative · entry 1

Calcaterra Chris M. · CIK 0001640771 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,445

F1 · shares: Consists of shares withheld by the Issuer with respect to income taxes payable by the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on April 1, 2019.

F2 · balance_after: Includes 4,734 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-011350 · form4.xml · nonDerivative · entry 1

Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,966

F1 · shares: Consists of shares withheld by the Issuer with respect to income taxes payable by the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on March 14, 2019.

F2 · balance_after: Includes 36,623 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-011344 · form4.xml · nonDerivative · entry 1

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 311,509

F1 · shares: Consists of shares withheld by the Issuer with respect to income taxes payable by the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on March 14, 2019.

F2 · balance_after: Includes 55,949 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-011343 · form4.xml · nonDerivative · entry 1

Calcaterra Chris M. · CIK 0001640771 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,669

F1 · shares: Consists of shares withheld by the Issuer with respect to income taxes payable by the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on March 14, 2019.

F2 · balance_after: Includes 5,381 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-010841 · form4.xml · derivative · entry 1

Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,466

Underlying: Common Stock · 55,466 shares

Expires 2030-03-12

F1 · derivative.exercise_date: These options vest over four years from the grant date, with 25% vesting on the first anniversary of the grant date and the remaining amount vesting in equal monthly installments over the following three years.

SEC source: 0001127602-20-010932 · form4.xml · derivative · entry 8

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,170

Underlying: Common Stock · 65,170 shares

Expires 2030-03-12

F4 · derivative.exercise_date: These options vest over four years from the grant date, with 25% vesting on the first anniversary of the grant date and the remaining amount vesting in equal monthly installments over the following three years.

SEC source: 0001127602-20-010932 · form4.xml · nonDerivative · entry 2

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,886

F3 · security: Granted by the Issuer in the form of restricted stock units which vest over a four-year period, with 25% to vest on each anniversary of the grant date.

F2 · balance_after: Includes 49,468 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-010932 · form4.xml · nonDerivative · entry 1

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 283,834

F1 · shares: Represents shares of common stock subject to a restricted stock unit award previously granted by the Issuer on April 1, 2019 pursuant to the Reporting Person's election to receive his annual bonus for 2019 in the form of restricted stock units rather than cash (the "Bonus Election"). The Compensation Committee determined on March 12, 2020 the annual bonus payable to the Reporting Person pursuant to the Issuer's 2019 executive bonus plan and the number of stock units earned by the Reporting Person in accordance with the Bonus Election, subject to continued employment through the vesting date. The restricted stock units will vest on April 1, 2020 and are payable on a one-for-one basis in shares of the Issuer's common stock.

F2 · balance_after: Includes 49,468 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-010908 · form4.xml · derivative · entry 2

Calcaterra Chris M. · CIK 0001640771 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,769

Underlying: Common Stock · 51,769 shares

Expires 2030-03-12

F3 · derivative.exercise_date: These options vest over four years from the grant date, with 25% vesting on the first anniversary of the grant date and the remaining amount vesting in equal monthly installments over the following three years.

SEC source: 0001127602-20-010908 · form4.xml · nonDerivative · entry 1

Calcaterra Chris M. · CIK 0001640771 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,309

F1 · shares: Represents shares of common stock subject to a restricted stock unit award previously granted by the Issuer on April 1, 2019 pursuant to the Reporting Person's election to receive a portion of his annual bonus for 2019 in the form of restricted stock units rather than cash (the "Bonus Election"). The Compensation Committee determined on March 12, 2020 the annual bonus payable to the Reporting Person pursuant to the Issuer's 2019 executive bonus plan and the number of stock units earned by the Reporting Person in accordance with the Bonus Election, subject to continued employment through the vesting date. The restricted stock units will vest on April 1, 2020 and are payable on a one-for-one basis in shares of the Issuer's common stock.

F2 · balance_after: Includes 6,311 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001127602-20-008714 · form4.xml · derivative · entry 13

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,034 shares

Expires 2020-11-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The exercisability of these stock options was fully accelerated by the Board of Directors of Avedro effective as of August 6, 2019, the date the Reporting Person resigned from the Board of Directors of Avedro.

SEC source: 0001127602-20-008714 · form4.xml · derivative · entry 12

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,682 shares

Expires 2020-11-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The exercisability of these stock options was fully accelerated by the Board of Directors of Avedro effective as of August 6, 2019, the date the Reporting Person resigned from the Board of Directors of Avedro.