SEC Form 4 · accession 0001104659-15-048966

GLAUKOS Corp · GKOS

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

Reporting owner

William J Link Ph.D.

Director · 10% Owner

Period of report

Jun 30, 2015

Accepted (ET)

Jun 30, 2015 · 6:02 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,F3	Jun 30, 2015	C	2,868,959	—	A	2,868,959	I	Through Versant Venture Capital I, L.P.
Common Stock^F1,F3	Jun 30, 2015	M	27,612	—	A	2,896,571	I	Through Versant Venture Capital I, L.P.
Common Stock^F3	Jun 30, 2015	F	11,736	$18.00	D	2,884,835	I	Through Versant Venture Capital I, L.P.
Common Stock^F1,F4	Jun 30, 2015	C	61,886	—	A	61,886	I	Through Versant Affiliates Fund I-A, L.P.
Common Stock^F1,F4	Jun 30, 2015	M	577	—	A	62,463	I	Through Versant Affiliates Fund I-A, L.P.
Common Stock^F4	Jun 30, 2015	F	246	$18.00	D	62,217	I	Through Versant Affiliates Fund I-A, L.P.
Common Stock^F1,F5	Jun 30, 2015	C	131,738	—	A	131,738	I	Through Versant Affiliates Fund I-B L.P.
Common Stock^F1,F5	Jun 30, 2015	M	1,296	—	A	133,034	I	Through Versant Affiliates Fund I-B L.P.
Common Stock^F5	Jun 30, 2015	F	551	$18.00	D	132,483	I	Through Versant Affiliates Fund I-B L.P.
Common Stock^F1,F6	Jun 30, 2015	C	56,379	—	A	56,379	I	Through Versant Side Fund I, L.P.
Common Stock^F1,F6	Jun 30, 2015	M	552	—	A	56,931	I	Through Versant Side Fund I, L.P.
Common Stock^F6	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	D/I
Series A Convertible Preferred Stock^F1,F3	—	Jun 30, 2015	C	552,000	D	—	—	Common Stock	552,000	I
Series A Convertible Preferred Stock^F1,F4	—	Jun 30, 2015	C	12,000	D	—	—	Common Stock	12,000	I
Series A Convertible Preferred Stock^F1,F5	—	Jun 30, 2015	C	25,200	D	—	—	Common Stock	25,200	I
Series A Convertible Preferred Stock^F1,F6	—	Jun 30, 2015	C	10,800	D	—	—	Common Stock	10,800	I
Series B Convertible Preferred Stock^F1,F3	—	Jun 30, 2015	C	851,852	D	—	—	Common Stock	851,852	I
Series B Convertible Preferred Stock^F1,F4	—	Jun 30, 2015	C	18,518	D	—	—	Common Stock	18,518	I
Series B Convertible Preferred Stock^F1,F5	—	Jun 30, 2015	C	38,888	D	—	—	Common Stock	38,888	I
Series B Convertible Preferred Stock^F1,F6	—	Jun 30, 2015	C	16,666	D	—	—	Common Stock	16,666	I
Series C Convertible Preferred Stock^F1,F3	—	Jun 30, 2015	C	479,714	D	—	—	Common Stock	479,714	I
Series C Convertible Preferred Stock^F1,F4	—	Jun 30, 2015	C	10,428	D	—	—	Common Stock	10,428	I
Series C Convertible Preferred Stock^F1,F5	—	Jun 30, 2015	C	21,900	D	—	—	Common Stock	21,900	I
Series C Convertible Preferred Stock^F1,F6	—	Jun 30, 2015	C	9,386	D	—	—	Common Stock	9,386	I
Series D Convertible Preferred Stock^F1,F3	—	Jun 30, 2015	C	548,464	D	—	—	Common Stock	548,464	I
Series D Convertible Preferred Stock^F1,F4	—	Jun 30, 2015	C	11,805	D	—	—	Common Stock	11,805	I
Series D Convertible Preferred Stock^F1,F5	—	Jun 30, 2015	C	25,226	D	—	—	Common Stock	25,226	I
Series D Convertible Preferred Stock^F1,F6	—	Jun 30, 2015	C	10,791	D	—	—	Common Stock	10,791	I
Series E Convertible Preferred Stock^F1,F3	—	Jun 30, 2015	C	163,592	D	—	—	Common Stock	163,592	I
Series E Convertible Preferred Stock^F1,F4	—	Jun 30, 2015	C	3,420	D	—	—	Common Stock	3,420	I
Series E Convertible Preferred Stock^F1,F5	—	Jun 30, 2015	C	7,684	D	—	—	Common Stock	7,684	I
Series E Convertible Preferred Stock^F1,F6	—	Jun 30, 2015	C	3,271	D	—	—	Common Stock	3,271	I
Series F Convertible Preferred Stock^F1,F3	—	Jun 30, 2015	C	273,337	D	—	—	Common Stock	273,337	I
Series F Convertible Preferred Stock^F1,F4	—	Jun 30, 2015	C	5,715	D	—	—	Common Stock	5,715	I
Series F Convertible Preferred Stock^F1,F5	—	Jun 30, 2015	C	12,840	D	—	—	Common Stock	12,840	I
Series F Convertible Preferred Stock^F1,F6	—	Jun 30, 2015	C	5,465	D	—	—	Common Stock	5,465	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	I
Series D Convertible Preferred Stock Warrant (right to buy)^F2,F4	$7.65	Jun 30, 2015	M	577	D	—	—	Common Stock	577	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	I
Series D Convertible Preferred Stock Warrant (right to buy)^F2,F6	$7.65	Jun 30, 2015	M	552	D	—	—	Common Stock	552	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. William J. Link, Ph.D is a director and/or member of VV I and shares voting and dispositive power over the shares held by VVC I; however, he disclaims beneficial ownership of the shares held by such entities except to the extent of his pecuniary interests therein.
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. William J. Link, Ph.D is a director and/or member of VV I and shares voting and dispositive power over the shares held by VAF I-A; however, he disclaims beneficial ownership of the shares held by such entities except to the extent of pecuniary interests therein.
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. William J. Link, Ph.D.,is a director and/or member of VV I and shares voting and dispositive power over the shares held by VAF I-B; however, he disclaims beneficial ownership of the shares held by such entities except to the extent of his pecuniary interests therein.
F6The shares are held by Versant Side Fund I, L.P., a Delaware limited partnership (''VSF I''). William J. Link, Ph.D. is a director and/or member of VV I and shares voting and dispositive power over the shares held by VSF I; however, he disclaims beneficial ownership of the shares held by such entities except to the extent of his pecuniary interests therein.