SEC Form 4 · accession 0000899243-18-023626
GLAUKOS Corp · GKOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gilbert H Kliman
Director
Period of report
Aug 29, 2018
Accepted (ET)
Aug 31, 2018 · 12:31 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 StockF1,F4 | Aug 29, 2018 | S | 500,000 | $60.3755 | D | 518,362 | I | By InterWest Partners IX, LP |
| Common StockF4 | Aug 29, 2018 | J | 515,000 | $0.00 | D | 3,362 | I | By InterWest Partners IX, LP |
| Common Stock | Aug 29, 2018 | J | 5,150 | $0.00 | A | 5,150 | I | By InterWest Management Partners IX, LLC |
| Common Stock | Aug 29, 2018 | J | 5,150 | $0.00 | D | 0 | I | By InterWest Management Partners IX, LLC |
| Common StockF5 | Aug 29, 2018 | J | 677 | $0.00 | A | 7,393 | D | |
| Common StockF5 | Aug 30, 2018 | S | 2,760 | $62.39 | D | 4,633 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $59.33 to $61.50 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F2Represents 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 5,150 shares distributed to InterWest Management Partners IX, LLC ("IMP9") its general partner.
- F3Represents 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 677 shares distributed to Kliman.
- F4The shares are owned by IP9. The general partner of IP9 is IMP9. Oronsky, Kliman, 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
- F5Includes 4,633 restricted stock units that have not yet vested or been delivered to the Reporting Person.