SEC Form 4 · accession 0000947871-17-000697
GLAUKOS Corp · GKOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Silverstein
Director
Period of report
Aug 31, 2017
Accepted (ET)
Sep 5, 2017 · 9:21 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 Stock, par value $0.01 per shareF1,F6,F8 | Aug 31, 2017 | S | 44,498 | $37.82 | D | 1,358,833 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF1,F7,F8 | Aug 31, 2017 | S | 424 | $37.82 | D | 12,945 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF2,F6,F8 | Sep 1, 2017 | S | 109,040 | $37.72 | D | 1,249,793 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF2,F7,F8 | Sep 1, 2017 | S | 1,038 | $37.72 | D | 11,907 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF3,F6,F8 | Sep 5, 2017 | S | 173,349 | $37.94 | D | 1,076,444 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF3,F7,F8 | Sep 5, 2017 | S | 1,651 | $37.94 | D | 10,256 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF4,F6,F8 | Sep 5, 2017 | S | 189,792 | $39.63 | D | 886,652 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF4,F7,F8 | Sep 5, 2017 | S | 1,808 | $39.63 | D | 8,448 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF5,F6,F8 | Sep 5, 2017 | S | 58,047 | $40.77 | D | 828,605 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF5,F7,F8 | Sep 5, 2017 | S | 553 | $40.77 | D | 7,895 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares of the Issuer's common stock ("Shares") were sold in multiple transactions at prices ranging from $37.75 to $37.83 inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the Securities and Exchange Commission (the "SEC") full information regarding the Shares sold at each separate price within the range set forth in this footnote.
- F2These Shares were sold in a block order at a price of $37.72.
- F3The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $37.75 to $38.04 inclusive. Upon request, the Reporting Person undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares sold at each separate price within the range set forth in this footnote.
- F4The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $39.33 to $40.30 inclusive. Upon request, the Reporting Person undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares sold at each separate price within the range set forth in this footnote.
- F5The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $40.33 to $41.22 inclusive. Upon request, the Reporting Person undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares sold at each separate price within the range set forth in this footnote.
- F6These Shares are held of record by OrbiMed Private Investments III, LP ("OPI III") and may be deemed to be indirectly beneficially owned by OrbiMed Capital GP III LLC ("GP III"), OrbiMed Advisors LLC ("Advisors") and Samuel D. Isaly ("Isaly"). GP III is the sole general partner of OPI III. Advisors, a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP III. Isaly, a natural person, is the managing member of and owner of a controlling interest in Advisors. By virtue of such relationships, GP III, Advisors and Isaly may be deemed to have voting and investment power with respect to the securities held by OPI III noted above. The Reporting Person is a member of Advisors.
- F7These Shares are held of record by OrbiMed Associates III, LP ("Associates III") and may be deemed to be indirectly beneficially owned by Advisors and Isaly. Advisors is the sole general partner of Associates III. Isaly is the managing member of, and holder of a controlling interest in, Advisors. By virtue of such relationships, Advisors and Isaly may be deemed to have voting and investment power with respect to the securities held by Associates III noted above. As a result, each of Advisors and Isaly may be deemed to have beneficial ownership of the securities held by Associates III.
- F8Each of the Reporting Person, GP III, Advisors, and Isaly disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.