SEC Form 4 · accession 0001104659-15-048955
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 30, 2015
Accepted (ET)
Jun 30, 2015 · 5:46 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,F2 | Jun 30, 2015 | C | 2,603,362 | — | A | 2,603,362 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C Convertible Preferred StockF1,F2 | — | Jun 30, 2015 | C | 1,523,809 | D | — | — | Common Stock | 1,523,809 | 0 | D |
| Series D Convertible Preferred StockF1,F2 | — | Jun 30, 2015 | C | 674,510 | D | — | — | Common Stock | 674,510 | 0 | D |
| Series E Convertible Preferred StockF1,F2 | — | Jun 30, 2015 | C | 151,653 | D | — | — | Common Stock | 151,653 | 0 | D |
| Series F Convertible Preferred StockF1,F2 | — | Jun 30, 2015 | C | 253,390 | D | — | — | Common Stock | 253,390 | 0 | D |
Explanation of responses
- F1The shares of 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 Issuer's initial public offering ("IPO") and had 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.