SEC Form 3 · accession 0001104659-15-047333
GLAUKOS Corp · GKOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Olav Bergheim
Director
Period of report
Jun 24, 2015
Accepted (ET)
Jun 24, 2015 · 4:59 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 | holding | — | — | — | 352,800 | I | Through Fjordinvest, LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock option (right to buy)F2 | $7.275 | holding | — | — | — | — | Jul 10, 2024 | Common Stock | 10,000 | — | D |
Explanation of responses
- F1Fjordinvest, LLC is a Delaware limited liability company.Micro LLC, a Delaware limited liability company, is the managing member of Fjordinvest, LLC, and Mr. Bergheim is the president of Micro LLC. Mr. Bergheim shares voting and dispositive power over the shares held by Fjordinvest, LLC; however, he disclaims beneficial ownership of the shares held by such entity except to the extent of his pecuniary interest therein.
- F2Granted July 10, 2014 pursuant to the Issuer's 2011 Stock Plan. Vests annually over a three-year period such that it is vested in full on the three-year anniversary of the grant date.