SEC Form 4 · accession 0001104659-15-048956

GLAUKOS Corp · GKOS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

10% Owner

10% Owner

10% Owner

Period of report

Jun 30, 2015

Accepted (ET)

Jun 30, 2015 · 5:48 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 Stock^F1,F2	Jun 30, 2015	C	3,118,406	—	A	3,118,406	I	Through Montreux Equity Partners IV, L.P.
Common Stock^F1,F2	Jun 30, 2015	C	161,406	—	A	161,406	I	Through Montreux IV Associates, LLC

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series C Convertible Preferred Stock^F1,F2	—	Jun 30, 2015	C	1,415,449	D	—	—	Common Stock	1,415,449	I
Series C Convertible Preferred Stock^F1,F2	—	Jun 30, 2015	C	108,360	D	—	—	Common Stock	108,360	I
Series D Convertible Preferred Stock^F1,F2	—	Jun 30, 2015	C	630,788	D	—	—	Common Stock	630,788	I
Series D Convertible Preferred Stock^F1,F2	—	Jun 30, 2015	C	37,186	D	—	—	Common Stock	37,186	I
Series E Convertible Preferred Stock^F1,F2	—	Jun 30, 2015	C	288,429	D	—	—	Common Stock	288,429	I
Series F Convertible Preferred Stock^F1,F2	—	Jun 30, 2015	C	783,740	D	—	—	Common Stock	783,740	I
Series F Convertible Preferred Stock^F1,F2	—	Jun 30, 2015	C	15,860	D	—	—	Common Stock	15,860	I

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 the Issuer's initial public offering ("IPO") and had no expiration date.
F2Montreux Equity Management IV, LLC, a California limited liability company (''MEM IV'') serves as the sole general partner of Montreux Equity Partners IV, L.P., a California limited partnership (''MEP IV'') and as manager of Montreux IV Associates, LLC, a California limited liability company (''MA IV''). John Savarese, M.D., Howard D. Palefsky and Daniel K. Turner III are directors and/or members of MEM IV and share voting and dispositive power over the shares held by MEP IV, MA IV and MEM IV; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein.