SEC Form 4 · accession 0001104659-15-048951
GLAUKOS Corp · GKOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Ross A Jaffe M.D.
10% Owner
Samuel D Colella
10% Owner
Brian G Atwood
10% Owner
VERSANT VENTURE CAPITAL I LP
10% Owner
VERSANT AFFILIATES FUND I-B LP
10% Owner
VERSANT AFFILIATES FUND I-A LP
10% Owner
VERSANT SIDE FUND I LP
10% Owner
VERSANT VENTURES I LLC
10% Owner
Period of report
Jun 30, 2015
Accepted (ET)
Jun 30, 2015 · 5:42 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,F3 | Jun 30, 2015 | C | 2,868,959 | — | A | 2,868,959 | I | Through Versant Venture Capital I, L.P. |
| Common StockF1,F3 | Jun 30, 2015 | M | 27,612 | — | A | 2,896,571 | I | Through Versant Venture Capital I, L.P. |
| Common StockF3 | Jun 30, 2015 | F | 11,736 | $18.00 | D | 2,884,835 | I | Through Versant Venture Capital I, L.P. |
| Common StockF1,F4 | Jun 30, 2015 | C | 61,886 | — | A | 61,886 | I | Through Versant Affiliates Fund I-A, L.P. |
| Common StockF1,F4 | Jun 30, 2015 | M | 577 | — | A | 62,463 | I | Through Versant Affiliates Fund I-A, L.P. |
| Common StockF4 | Jun 30, 2015 | F | 246 | $18.00 | D | 62,217 | I | Through Versant Affiliates Fund I-A, L.P. |
| Common StockF1,F5 | Jun 30, 2015 | C | 131,738 | — | A | 131,738 | I | Through Versant Affiliates Fund I-B L.P. |
| Common StockF1,F5 | Jun 30, 2015 | M | 1,296 | — | A | 133,034 | I | Through Versant Affiliates Fund I-B L.P. |
| Common StockF5 | Jun 30, 2015 | F | 551 | $18.00 | D | 132,483 | I | Through Versant Affiliates Fund I-B L.P. |
| Common StockF1,F6 | Jun 30, 2015 | C | 56,379 | — | A | 56,379 | I | Through Versant Side Fund I, L.P. |
| Common StockF1,F6 | Jun 30, 2015 | M | 552 | — | A | 56,931 | I | Through Versant Side Fund I, L.P. |
| Common StockF6 | Jun 30, 2015 | F | 235 | $18.00 | D | 56,696 | I | Through Versant Side Fund I, L.P. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF1,F3 | — | Jun 30, 2015 | C | 552,000 | D | — | — | Common Stock | 552,000 | 0 | I |
| Series A Convertible Preferred StockF1,F4 | — | Jun 30, 2015 | C | 12,000 | D | — | — | Common Stock | 12,000 | 0 | I |
| Series A Convertible Preferred StockF1,F5 | — | Jun 30, 2015 | C | 25,200 | D | — | — | Common Stock | 25,200 | 0 | I |
| Series A Convertible Preferred StockF1,F6 | — | Jun 30, 2015 | C | 10,800 | D | — | — | Common Stock | 10,800 | 0 | I |
| Series B Convertible Preferred StockF1,F3 | — | Jun 30, 2015 | C | 851,852 | D | — | — | Common Stock | 851,852 | 0 | I |
| Series B Convertible Preferred StockF1,F4 | — | Jun 30, 2015 | C | 18,518 | D | — | — | Common Stock | 18,518 | 0 | I |
| Series B Convertible Preferred StockF1,F5 | — | Jun 30, 2015 | C | 38,888 | D | — | — | Common Stock | 38,888 | 0 | I |
| Series B Convertible Preferred StockF1,F6 | — | Jun 30, 2015 | C | 16,666 | D | — | — | Common Stock | 16,666 | 0 | I |
| Series C Convertible Preferred StockF1,F3 | — | Jun 30, 2015 | C | 479,714 | D | — | — | Common Stock | 479,714 | 0 | I |
| Series C Convertible Preferred StockF1,F4 | — | Jun 30, 2015 | C | 10,428 | D | — | — | Common Stock | 10,428 | 0 | I |
| Series C Convertible Preferred StockF1,F5 | — | Jun 30, 2015 | C | 21,900 | D | — | — | Common Stock | 21,900 | 0 | I |
| Series C Convertible Preferred StockF1,F6 | — | Jun 30, 2015 | C | 9,386 | D | — | — | Common Stock | 9,386 | 0 | I |
| Series D Convertible Preferred StockF1,F3 | — | Jun 30, 2015 | C | 548,464 | D | — | — | Common Stock | 548,464 | 0 | I |
| Series D Convertible Preferred StockF1,F4 | — | Jun 30, 2015 | C | 11,805 | D | — | — | Common Stock | 11,805 | 0 | I |
| Series D Convertible Preferred StockF1,F5 | — | Jun 30, 2015 | C | 25,226 | D | — | — | Common Stock | 25,226 | 0 | I |
| Series D Convertible Preferred StockF1,F6 | — | Jun 30, 2015 | C | 10,791 | D | — | — | Common Stock | 10,791 | 0 | I |
| Series E Convertible Preferred StockF1,F3 | — | Jun 30, 2015 | C | 163,592 | D | — | — | Common Stock | 163,592 | 0 | I |
| Series E Convertible Preferred StockF1,F4 | — | Jun 30, 2015 | C | 3,420 | D | — | — | Common Stock | 3,420 | 0 | I |
| Series E Convertible Preferred StockF1,F5 | — | Jun 30, 2015 | C | 7,684 | D | — | — | Common Stock | 7,684 | 0 | I |
| Series E Convertible Preferred StockF1,F6 | — | Jun 30, 2015 | C | 3,271 | D | — | — | Common Stock | 3,271 | 0 | I |
| Series F Convertible Preferred StockF1,F3 | — | Jun 30, 2015 | C | 273,337 | D | — | — | Common Stock | 273,337 | 0 | I |
| Series F Convertible Preferred StockF1,F4 | — | Jun 30, 2015 | C | 5,715 | D | — | — | Common Stock | 5,715 | 0 | I |
| Series F Convertible Preferred StockF1,F5 | — | Jun 30, 2015 | C | 12,840 | D | — | — | Common Stock | 12,840 | 0 | I |
| Series F Convertible Preferred StockF1,F6 | — | Jun 30, 2015 | C | 5,465 | D | — | — | Common Stock | 5,465 | 0 | I |
| Series D Convertible Preferred Stock Warrant (right to buy)F2,F3 | $7.65 | Jun 30, 2015 | M | 27,612 | D | — | — | Common Stock | 27,612 | 0 | I |
| Series D Convertible Preferred Stock Warrant (right to buy)F2,F4 | $7.65 | Jun 30, 2015 | M | 577 | D | — | — | Common Stock | 577 | 0 | I |
| Series D Convertible Preferred Stock Warrant (right to buy)F2,F5 | $7.65 | Jun 30, 2015 | M | 1,296 | D | — | — | Common Stock | 1,296 | 0 | I |
| Series D Convertible Preferred Stock Warrant (right to buy)F2,F6 | $7.65 | Jun 30, 2015 | M | 552 | D | — | — | Common Stock | 552 | 0 | I |
Explanation of responses
- F1The shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock and Series F Convertible Preferred Stock automatically converted into shares of common stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering ("IPO") and had no expiration date.
- F2The warrants to acquire Series D Convertible Preferred Stock automatically net exercised immediately prior to consummation of the IPO at the IPO price per share and the shares of Series D Convertible Preferred Stock received thereupon automatically converted into shares of common stock as described in footnote (1).
- F3The shares are held by Versant Venture Capital I, L.P., a Delaware limited partnership ("VVC I"). Versant Ventures I, LLC, a Delaware limited liability company ("VV I") serves as the sole general partner of VVC I. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are directors and/or members of VV I and share voting and dispositive power over the shares held by VVC I; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports.
- F4The shares are held by Versant Affiliates Fund I-A, L.P., a Delaware limited partnership ("VAF I-A"). VV I serves as the sole general partner of VAF I-A. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are directors and/or members of VV I and share voting and dispositive power over the shares held by VAF I-A; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports.
- F5The shares are held by Versant Affiliates Fund I-B, L.P., a Delaware limited partnership ("VAF I-B"). VV I serves as the sole general partner of VAF I-B. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are directors and/or members of VV I and share voting and dispositive power over the shares held by VAF I-B; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports.
- F6The shares are held by Versant Side Fund I, L.P., a Delaware limited partnership ("VSF I"). VV I serves as the sole general partner of VSF I. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are directors and/or members of VV I and share voting and dispositive power over the shares held by VSF I; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports.
Remarks
Form 1 of 2