SEC Form 4 · accession 0001104659-15-048877
GLAUKOS Corp · GKOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Alan D Frazier
10% Owner
Frazier Healthcare V, LP
10% Owner
James N Topper
10% Owner
Nader J Naini
10% Owner
FHM V, LLC
10% Owner
FHM V, LP
10% Owner
Patrick J Heron
10% Owner
Nathan R Every
10% Owner
Period of report
Jun 26, 2015
Accepted (ET)
Jun 30, 2015 · 4:19 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001192448
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series D Convertible Preferred StockF2,F1 | — | Jun 26, 2015 | X | 24,705 | A | — | — | Common Stock | 24,705 | 674,510 | D |
| Series D Convertible Preferred Stock Warrant (right to buy)F2,F3 | $7.65 | Jun 26, 2015 | X | 24,705 | D | Sep 15, 2010 | Sep 15, 2017 | Common Stock | 24,705 | 0 | D |
Explanation of responses
- F1The shares of Series D Convertible Preferred Stock, will automatically convert into shares of common stock on a 1:1 basis immediately prior to the consummation of Issuer's initial public offering ("IPO") and have no expiration date.
- F2This report is filed jointly by Frazier Healthcare V, L.P., a Delaware limited partnership ("FH-V''), FHM V, L.P., a Delaware limited partnership ("FHM V L.P.''), FHM V LLC a Delaware limited liability company ("FHM V LLC''), Nathan Every, Alan Frazier, Nader Naini, Patrick Heron and James Topper. Shares and warrants are held directly by FH-V. FHM V, L.P. serves as the sole general partner of FH-V and owns no shares directly. FHM V LLC serves as the sole general partner of FHM V, L.P. and owns no shares directly. Nathan Every, Alan Frazier, Nader Naini, Patrick Heron and James Topper are members of FHM V, LLC and share voting and dispositive power over the shares held by FH-V; however, they disclaim beneficial ownership of the shares held by FH-V except to the extent of their pecuniary interests therein.
- F3If not exercised prior to the IPO, the warrants would have automatically net exercised immediately prior to the IPO at the IPO price per share.