As filed with the Securities and Exchange Commission on March 10, 2023
Registration No. __________________
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
Glaukos Corporation
(Exact name of registrant as specified in its charter)
| |
Delaware | 33-0945406 |
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
One Glaukos Way
Aliso Viejo, California 92656
(Address, including zip code, of Principal Executive Offices)
Glaukos Corporation 2015 Omnibus Incentive Compensation Plan
Glaukos Corporation 2015 Employee Stock Purchase Plan
(Full title of the plan)
Thomas W. Burns
CEO & Chairman of the Board of Directors
One Glaukos Way
Aliso Viejo, California 92656
(949) 367-9600
(Name, address and telephone number, including area code, of agent for service)
COPY TO:
Mark D. Peterson
Shelly A. Heyduk
O’Melveny & Myers LLP
610 Newport Center Drive, Suite 1700
Newport Beach, California 92660
(949) 823-6900
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, smaller reporting company or an emerging growth company. See the definitions of ‘‘large accelerated filer,’’ ‘‘accelerated filer,’’ ‘‘smaller reporting company’’ and “emerging growth company” in Rule 12b-2 of the Exchange Act. (Check one):
| | | |
⌧ Large accelerated filer | ◻ Accelerated filer | ◻ Non-accelerated filer | ◻ Smaller reporting company |
| | | ◻ Emerging growth company |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ◻
EXPLANATORY NOTE
This Registration Statement is filed by Glaukos Corporation, a Delaware corporation (the “Company” or “Registrant”), to register additional securities issuable pursuant to the Glaukos Corporation 2015 Omnibus Incentive Compensation Plan (the “2015 Incentive Plan”) and the Glaukos Corporation 2015 Employee Stock Purchase Plan (the “ESPP”) and consists of only those items required by General Instruction E to Form S-8.
PART I
INFORMATION REQUIRED IN THE
SECTION 10(a) PROSPECTUS
The document(s) containing the information specified in Part I of Form S-8 will be sent or given to participants as specified by Securities Act Rule 428(b)(1).
PART II
INFORMATION REQUIRED IN THE
REGISTRATION STATEMENT
Item 3. | Incorporation of Certain Documents by Reference |
The following documents of the Company filed with the Securities and Exchange Commission (the “Commission”) are incorporated herein by reference:
| a) | The Company’s Registration Statements on Form S-8, filed with the Commission on June 30, 2015, June 17, 2016, May 10, 2018, March 1, 2019, March 9, 2020, March 11, 2021 and March 8, 2022 (Commission File Nos. 333-205372, 333-212106, 333-224822, 333-230017, 333-237030, 333-254141, and 333-263373, respectively); |
| b) | The Company’s Annual Report on Form 10-K for its fiscal year ended December 31, 2022, filed with the Commission on February 24, 2023 (Commission File No. 001-37463); and |
| c) | The description of the Company’s common stock, par value $0.001 per share (the “Common Stock”) contained in its Registration Statement on Form 8-A filed with the Commission on June 22, 2015, as modified by the description of the Company’s Common Stock contained in Exhibit 4.3 to the Company’s Annual Report on Form 10-K for its fiscal year ended December 31, 2020, filed with the Commission on March 1, 2021 (each, Commission File No. 001-37463), and any other amendment or report filed for the purpose of updating such description. |
All documents subsequently filed by the Company pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), prior to the filing of a post-effective amendment which indicates that all securities offered hereby have been sold or which deregisters all securities then remaining unsold, shall be deemed to be incorporated by reference into this Registration Statement and to be a part hereof from the date of filing of such documents; provided, however, that documents or information deemed to have been furnished and not filed in accordance with Commission rules shall not be deemed incorporated by reference into this Registration Statement. Any statement contained herein or in a document, all or a portion of which is incorporated or deemed to be incorporated by reference herein, shall be deemed to be modified or superseded for purposes of this Registration Statement to the extent that a statement contained herein or in any other subsequently filed document which also is or is deemed to be incorporated by reference herein modifies or supersedes such statement. Any such statement so modified or superseded shall not be deemed, except as so modified or amended, to constitute a part of this Registration Statement.
Item 5. | Interests of Named Experts and Counsel |
The validity of the issuance of Common Stock registered hereby is passed on for the Company by Diane Biagianti. Ms. Biagianti is the Senior Vice President, General Counsel of the Company and is compensated by the Company as an employee. Ms. Biagianti owns 12,253 shares of Common Stock, Company stock options to acquire up to an additional 53,707 shares of Common Stock and 27,852 restricted stock units that, when vested, will be delivered in the form of shares of Common Stock of the Company. Ms. Biagianti is eligible to receive stock awards by the Company under the 2015 Incentive Plan and is eligible to participate in the ESPP.
Item 8. | Exhibits |
See the Exhibit Index included in this Registration Statement, which is incorporated herein by reference.
EXHIBIT INDEX
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Exhibit |
| Description of Exhibit |
| | |
4.1 | | |
| | |
4.2 | | |
| | |
5. | | |
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23.1 | | |
| | |
23.2 | | |
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24. | | Power of Attorney (included in this Registration Statement under “Signatures”). |
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107. | |
Pursuant to the requirements of the Securities Act, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Form S-8 Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Aliso Viejo, State of California, on March 10, 2023.
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| GLAUKOS CORPORATION | ||
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| By: | /s/ Thomas W. Burns | |
| Thomas W. Burns | ||
| CEO & Chairman of the Board of Directors | ||
POWER OF ATTORNEY
Each person whose signature appears below constitutes and appoints Thomas W. Burns, Alex R. Thurman, and Diane Biagianti, and each of them, acting individually and without the other, as his or her true and lawful attorneys-in-fact and agents, with full power of substitution and resubstitution, for him or her and in his or her name, place, and stead, in any and all capacities, to sign any and all amendments (including post-effective amendments, exhibits thereto and other documents in connection therewith) to this Registration Statement, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Commission, granting unto said attorneys-in-fact and agents, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as he or she might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or either of them individually, or their or his substitute or substitutes, may lawfully do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Act, this Registration Statement has been signed below by the following persons in the capacities and on the dates indicated.
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|---|---|---|---|---|
Signature |
| Title |
| Date |
| | | | |
/s/ Thomas W. Burns | | CEO and Chairman of the Board of Directors | | March 10, 2023 |
Thomas W. Burns | | (Principal Executive Officer) | | |
| | | | |
/s/ Alex R. Thurman | | Senior Vice President and Chief Financial Officer | | March 10, 2023 |
Alex R. Thurman | | (Principal Financial and Accounting Officer) | | |
| | | | |
/s/ Mark J. Foley | | Lead Independent Director | | March 10, 2023 |
Mark J. Foley | | | | |
| | | | |
/s/ David F. Hoffmeister | | Director | | March 10, 2023 |
David F. Hoffmeister | | | | |
| | | | |
/s/ Aimee S. Weisner | | Director | | March 10, 2023 |
Aimee S. Weisner | | | | |
| | | | |
/s/ Marc A. Stapley | | Director | | March 10, 2023 |
Marc A. Stapley | | | | |
| | | | |
/s/ Denice M. Torres | | Director | | March 10, 2023 |
Denice M. Torres | | | | |
| | | | |
/s/ Leana S. Wen | | Director | | March 10, 2023 |
Leana S. Wen, M.D. | | | | |
| | | | |
/s/ Gilbert H. Kliman | | Director | | March 10, 2023 |
Gilbert H. Kliman, M.D. | | | | |
