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 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol GLAUKOS Corp [ GKOS ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 05/31/2016 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 05/31/2016 | J(1) | 505,297 | D | $0.00 | 2,379,539 | I | See Footnote(2) | ||
Common Stock | 05/31/2016 | J(3) | 9,892 | D | $0.00 | 46,804 | I | See Footnote(4) | ||
Common Stock | 05/31/2016 | S | 10,970 | D | $23.98 | 51,247 | I | See Footnote(5) | ||
Common Stock | 05/31/2016 | S | 23,088 | D | $23.98 | 109,395 | I | See Footnote(6) | ||
Common Stock | 05/31/2016 | J(7) | 128,758 | A | $0.00 | 128,758 | I | See Footnote(8) | ||
Common Stock | 05/31/2016 | J(9) | 397 | A | $0.00 | 397 | I | See Footnote(10) | ||
Common Stock | 05/31/2016 | J(9) | 741 | A | $0.00 | 741 | I | See Footnote(11) | ||
Common Stock | 05/31/2016 | J(9) | 989 | A | $0.00 | 989 | I | See Footnote(12) | ||
Common Stock | 05/31/2016 | J(9) | 989 | A | $0.00 | 989 | I | See Footnote(13) | ||
Common Stock | 05/31/2016 | J(9) | 397 | A | $0.00 | 397 | I | See Footnote(14) | ||
Common Stock | 05/31/2016 | J(9) | 2,317 | A | $0.00 | 2,317 | I | See Footnote(15) | ||
Common Stock | 05/31/2016 | J(9) | 496 | A | $0.00 | 496 | I | See Footnote(16) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Versant Venture Capital I, L.P., a Delaware limited partnership ("VVC I") without consideration to its partners. |
2. The shares are held by VVC I. Versant Ventures I, LLC, a Delaware limited liability company ("VV I") serves as the sole general partner of VVC I. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are managing directors and/or members of VV I and share voting and dispositive power over the shares held by VVC I; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports. |
3. Represents a pro-rata in-kind distribution of Common Stock of the Issuer for no consideration by Versant Side Fund I, L.P., a Delaware limited partnership ("VSF I") to its partners, without consideration. |
4. The shares are held by VSF I. VV I serves as the sole general partner of VSF I. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are managing directors and/or members of VV I and share voting and dispositive power over the shares held by VSF I; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports. |
5. The shares are held by Versant Affiliates Fund I-A, L.P., a Delaware limited partnership ("VAF I-A"). VV I serves as the sole general partner of VAF I-A. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are managing directors and/or members of VV I and share voting and dispositive power over the shares held by VAF I-A; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports. |
6. The shares are held by Versant Affiliates Fund I-B, L.P., a Delaware limited partnership ("VAF I-B"). VV I serves as the sole general partner of VAF I-B. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are managing directors and/or members of VV I and share voting and dispositive power over the shares held by VAF I-B; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports. |
7. Represents a change in the form of ownership by virtue of the receipt of shares in the pro-rata in-kind distribution of Common Stock of the Issuer for no consideration by VVC-I. |
8. The shares are held by VV I. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are managing directors and/or members of VV I and share voting and dispositive power over the shares held by VV I; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports. |
9. Represents a change in the form of ownership by virtue of the receipt of shares in the pro-rata in-kind distribution of Common Stock of the Issuer by VSF I. |
10. The shares are held by the Atwood-Edminster Trust dated 4/2/2000 (the "Atwood Trust") for the benefit of Brian G. Atwood. Brian G. Atwood is a trustee of the Atwood Trust. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his proportionate pecuniary interest therein. |
11. The shares are held by Colella Family Partners and Colella Family Trust UTA Dated 9/21/92 for the benefit of Samuel D. Colella. Samuel D. Colella is a general partner of Colella Family Partners and a trustee of Colella Family Trust UTA Dated 9/21/92. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his proportionate pecuniary interest therein. |
12. The shares are held by The Jaffe Family Trust (the "Jaffe Trust") for the benefit of Ross A. Jaffe. Ross A. Jaffe is a trustee of the Jaffe Trust. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his proportionate pecuniary interest therein. |
13. The shares are held by The Link Family Trust (the "Link Trust") for the benefit of William J. Link. William J. Link is a trustee of the Link Trust. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his proportionate pecuniary interest therein. |
14. The shares are held Lubash Moses LLC for the benefit of Barbara N. Lubash (the "LLC") for the benefit of Barbara N. Lubash. Barbara N. Lubash is a manager of the LLC. The Reporting Person disclaims beneficial ownership of the shares except to the extent of her proportionate pecuniary interest therein. |
15. The shares are held by the Milder Community Property Trust (the "Milder Trust") for the benefit of Donald B. Milder. Donald B. Milder is a trustee of the Milder Trust. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his proportionate pecuniary interest therein. |
16. The shares are held by the Robertson Family Trust (the "Robertson Trust") for the benefit of Rebecca B. Robertson. Rebecca B. Robertson is a trustee of the Robertson Trust. The Reporting Person disclaims beneficial ownership of the shares except to the extent of her proportionate pecuniary interest therein. |
Remarks: |
Filing 1 of 2 |
/s/ Robin L. Praeger as attorney-in-fact | 06/02/2016 | |
Robin L. Praeger as attorney-in-fact | 06/02/2016 | |
Robin L. Praeger as attorney-in-fact | 06/02/2016 | |
Robin L. Praeger as attorney-in-fact | 06/02/2016 | |
Robin L. Praeger as attorney-in-fact | 06/02/2016 | |
Robin L. Praeger as attorney-in-fact | 06/02/2016 | |
Robin L. Praeger as attorney-in-fact | 06/02/2016 | |
Robin L. Praeger as attorney-in-fact | 06/02/2016 | |
Robin L. Praeger as attorney-in-fact | 06/02/2016 | |
Robin L. Praeger as attorney-in-fact | 06/02/2016 | |
** 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. |