SEC Form 4 · accession 0000947871-18-000221
GLAUKOS Corp · GKOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Silverstein
Director
Period of report
Mar 2, 2018
Accepted (ET)
Mar 6, 2018 · 7:41 pm EST
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,F8,F10 | Mar 2, 2018 | S | 265,766 | $31.92 | D | 562,839 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF1,F9,F10 | Mar 2, 2018 | S | 2,533 | $31.92 | D | 5,362 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF2,F8,F10 | Mar 2, 2018 | S | 194,433 | $32.80 | D | 368,406 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF2,F9,F10 | Mar 2, 2018 | S | 1,851 | $32.80 | D | 3,511 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF3,F8,F10 | Mar 5, 2018 | S | 128,092 | $32.05 | D | 240,314 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF3,F9,F10 | Mar 5, 2018 | S | 1,220 | $32.05 | D | 2,291 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF4,F8,F10 | Mar 5, 2018 | S | 80,516 | $33.06 | D | 159,798 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF4,F9,F10 | Mar 5, 2018 | S | 768 | $33.06 | D | 1,523 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF5,F8,F10 | Mar 6, 2018 | S | 93,008 | $30.01 | D | 66,790 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF5,F9,F10 | Mar 6, 2018 | S | 886 | $30.01 | D | 637 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF6,F8,F10 | Mar 6, 2018 | S | 20,114 | $30.77 | D | 46,676 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF6,F9,F10 | Mar 6, 2018 | S | 192 | $30.77 | D | 445 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF7,F8,F10 | Mar 6, 2018 | S | 46,676 | $32.06 | D | 0 | I | See Footnotes |
| Common Stock, par value $0.01 per shareF7,F9,F10 | Mar 6, 2018 | S | 445 | $32.06 | D | 0 | 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 $31.41 to $32.39 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.
- F10Each of the Reporting Person, GP III and Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) of 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.
- F2The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $32.42 to $33.40 inclusive. Upon request, the Reporting Person undertakes 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.
- F3The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $31.64 to $32.62 inclusive. Upon request, the Reporting Person undertakes 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 $32.64 to $33.39 inclusive. Upon request, the Reporting Person undertakes 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 $29.48 to $30.47 inclusive. Upon request, the Reporting Person undertakes 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.
- F6The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $30.48 to $31.47 inclusive. Upon request, the Reporting Person undertakes 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.
- F7The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $31.49 to $32.46 inclusive. Upon request, the Reporting Person undertakes 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.
- F8These Shares are held of record by OrbiMed Private Investments III, LP ("OPI III"). OrbiMed Capital GP III LLC ("GP III") is the general partner of OPI III, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP III. By virtue of such relationships, GP III and Advisors may be deemed to have voting and investment power over the securities held by OPI III and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI III. The Reporting Person is a member of Advisors.
- F9These Shares are held of record by OrbiMed Associates III, LP ("Associates III"). Advisors is the general partner of Associates III. By virtue of such relationships, Advisors may be deemed to have voting and investment power over the securities held by Associates III and as a result may be deemed to have beneficial ownership over such securities. Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by Associates III.