SEC Form 4 · accession 0001104659-15-048959
GLAUKOS Corp · GKOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Michael B Gordon
10% Owner
Meritech Capital Partners III LP
10% Owner
MERITECH CAPITAL AFFILIATES III L P
10% Owner
George Bischof
10% Owner
Rob Ward
10% Owner
Period of report
Jun 30, 2015
Accepted (ET)
Jun 30, 2015 · 5:55 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 | 2,972,501 | — | A | 2,972,501 | I | Through Meritech Capital Partners III L.P. |
| Common StockF1,F2 | Jun 30, 2015 | C | 54,177 | — | A | 54,177 | I | Through Meritech Capital Affiliates III, 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 E Convertible Preferred StockF1,F2 | — | Jun 30, 2015 | C | 1,862,784 | D | — | — | Common Stock | 1,862,784 | 0 | I |
| Series E Convertible Preferred StockF1,F2 | — | Jun 30, 2015 | C | 33,951 | D | — | — | Common Stock | 33,951 | 0 | I |
| Series F Convertible Preferred StockF1,F2 | — | Jun 30, 2015 | C | 1,109,717 | D | — | — | Common Stock | 1,109,717 | 0 | I |
| Series F Convertible Preferred StockF1,F2 | — | Jun 30, 2015 | C | 20,226 | D | — | — | Common Stock | 20,226 | 0 | I |
Explanation of responses
- F1The shares of 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 and had no expiration date.
- F2Meritech Capital Associates III L.L.C., a Delaware limited liability company (''MCA III''), serves as the sole general partner of Meritech Capital Partners III L.P., a Delaware limited partnership (''MCP III'') and of Meritech Capital Affiliates III, L.P., a Delaware limited partnership (''MCAFF III''). Meritech Management Associates III L.L.C., a Delaware limited liability company (''MMA III'') is a managing member of MCA III. Paul S. Madera, Michael B. Gordon, Robert D. Ward and George H. Bischof are the managing members of MMA III and share voting and dispositive power over the shares held by MCP III, MCAFF III, MCA III and MMA III; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. Paul S. Madera was a director of the Issuer, and, accordingly, files separate Section 16 reports.
Remarks
This report is one of two reports, each on a separate Form 4, but relating to the same transaction being filed by entities affiliated with Meritech Capital Partners and their associated managing members.