SEC Form 4 · accession 0000899243-16-026222
GLAUKOS Corp · GKOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gilbert H Kliman
Director
Period of report
Aug 2, 2016
Accepted (ET)
Aug 3, 2016 · 4:43 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001192448
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF3 | Aug 2, 2016 | J | 585,000 | $0.00 | D | 2,018,362 | I | By InterWest Partners IX, LP |
| Common Stock | Aug 2, 2016 | J | 5,850 | $0.00 | A | 5,850 | I | By InterWest Management Partners IX, LLC |
| Common Stock | Aug 2, 2016 | J | 5,850 | $0.00 | D | 0 | I | By InterWest Management Partners IX, LLC |
| Common Stock | Aug 2, 2016 | J | 769 | $0.00 | A | 769 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents pro rata in-kind distribution by InterWest Partners IX, LP ("IP9") without consideration to its limited and general partners in accordance with the terms of the InterWest Partners IX, LP Limited Partnership Agreement. Includes 5,850 shares distributed to InterWest Management Partners IX, LLC ("IMP9") its general partner.
- F2Represents pro rata in-kind distribution by IMP9 without consideration to its members in accordance with the terms of the InterWest Management Partners IX, LLC Operating Agreement. Includes 769 shares distributed to Kliman.
- F3The shares are owned by IP9. The general partner of IP9 is IMP9. Gianos, Oronsky, Kliman, Holmes, and Nasr have shared voting and investment control over shares owned by IP9, and disclaim beneficial ownership of those securities, except to the extent of their pecuniary interest therein