SEC Form 4 · accession 0000904454-15-000443
GLAUKOS Corp · GKOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Jesse I Treu
10% Owner
James C Blair
10% Owner
Nicole Vitullo
10% Owner
Brian H Dovey
10% Owner
Kathleen K Schoemaker
10% Owner
Brian K Halak
10% Owner
Domain Partners VIII, L.P.
10% Owner
Period of report
Jun 30, 2015
Accepted (ET)
Jul 1, 2015 · 3:37 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,F2,F3,F4,F5,F6 | Jun 30, 2015 | C | 876,083 | — | A | 876,083 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series E Preferred StockF2,F3,F4,F5,F6,F1 | — | Jun 30, 2015 | C | 589,100 | D | — | — | Common Stock | 589,100 | 0 | D |
| Series F Preferred StockF2,F3,F4,F5,F6,F1 | — | Jun 30, 2015 | C | 286,983 | D | — | — | Common Stock | 286,983 | 0 | D |
Explanation of responses
- F1All outstanding Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering (the "IPO") for no additional consideration. The Preferred Stock had no expiration date.
- F2The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
- F3As managing members of the sole general partner of Domain Partners IV, L.P., each Reporting Owner listed below (except for Nicole Vitullo and Brian K. Halak) may also be deemed to indirectly beneficially own the securities of the Issuer held by Domain Partners IV, L.P., as reported on a Form 4 for Domain Partners IV, L.P., filed on the same date as this Form 4.
- F4As managing members of the sole general partner of DP VIII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by DP VIII Associates, L.P., as reported on a Form 4 for DP VIII Associates, L.P. filed on the same date as this Form 4.
- F5As managing members of the sole general partner of DP IV Associates, L.P., each Reporting Owner listed below (except for Nicole Vitullo and Brian K. Halak) may also be deemed to indirectly beneficially own the securities of the Issuer held by DP IV Associates, L.P., as reported on a Form 4 for DP IV Associates, L.P. filed on the same date as this Form 4.
- F6As managing members of Domain Associates, LLC, each Reporting Owner listed below may also be deemed to indirectly beneficially own 63,200 shares of Common Stock held by Domain Associates, LLC. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by Domain Associates, LLC, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.