SEC Form 4 · accession 0001104659-16-100505
GLAUKOS Corp · GKOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
MONTREUX EQUITY PARTNERS IV LP
10% Owner
Montreux IV Associates, LLC
10% Owner
Montreux Equity Management IV, LLC
10% Owner
Period of report
Feb 25, 2016
Accepted (ET)
Feb 26, 2016 · 3:41 pm EST
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 | Feb 25, 2016 | S | 70,000 | $16.16 | D | 3,209,812 | I | Through Montreux Equity Partners IV, L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.10 to $16.44, inclusive. The reporting person undertakes to provide to Glaukos Corporation, any security holder of Glaukos Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
- 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''). Daniel K. Turner III is the sole managing member of MEM IV and shares voting and dispositive power over the shares held by MEP IV, MA IV and MEM IV; however, he disclaims beneficial ownership of the shares held by such entities except to the extent of his pecuniary interests therein.