SEC Form 4 · accession 0001209191-16-125337
GLAUKOS Corp · GKOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
May 31, 2016
Accepted (ET)
Jun 2, 2016 · 9:16 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 StockF2 | May 31, 2016 | J | 505,297 | $0.00 | D | 2,379,539 | I | See Footnote |
| Common StockF4 | May 31, 2016 | J | 9,892 | $0.00 | D | 46,804 | I | See Footnote |
| Common StockF5 | May 31, 2016 | S | 10,970 | $23.98 | D | 51,247 | I | See Footnote |
| Common StockF6 | May 31, 2016 | S | 23,088 | $23.98 | D | 109,395 | I | See Footnote |
| Common StockF8 | May 31, 2016 | J | 128,758 | $0.00 | A | 128,758 | I | See Footnote |
| Common StockF10 | May 31, 2016 | J | 397 | $0.00 | A | 397 | I | See Footnote |
| Common StockF11 | May 31, 2016 | J | 741 | $0.00 | A | 741 | I | See Footnote |
| Common StockF12 | May 31, 2016 | J | 989 | $0.00 | A | 989 | I | See Footnote |
| Common StockF13 | May 31, 2016 | J | 989 | $0.00 | A | 989 | I | See Footnote |
| Common StockF14 | May 31, 2016 | J | 397 | $0.00 | A | 397 | I | See Footnote |
| Common StockF15 | May 31, 2016 | J | 2,317 | $0.00 | A | 2,317 | I | See Footnote |
| Common StockF16 | May 31, 2016 | J | 496 | $0.00 | A | 496 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Versant Venture Capital I, L.P., a Delaware limited partnership ("VVC I") without consideration to its partners.
- F10The shares are held by the Atwood-Edminster Trust dated 4/2/2000 (the "Atwood Trust") for the benefit of Brian G. Atwood. Brian G. Atwood is a trustee of the Atwood Trust. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his proportionate pecuniary interest therein.
- F11The shares are held by Colella Family Partners and Colella Family Trust UTA Dated 9/21/92 for the benefit of Samuel D. Colella. Samuel D. Colella is a general partner of Colella Family Partners and a trustee of Colella Family Trust UTA Dated 9/21/92. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his proportionate pecuniary interest therein.
- F12The shares are held by The Jaffe Family Trust (the "Jaffe Trust") for the benefit of Ross A. Jaffe. Ross A. Jaffe is a trustee of the Jaffe Trust. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his proportionate pecuniary interest therein.
- F13The shares are held by The Link Family Trust (the "Link Trust") for the benefit of William J. Link. William J. Link is a trustee of the Link Trust. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his proportionate pecuniary interest therein.
- F14The shares are held Lubash Moses LLC for the benefit of Barbara N. Lubash (the "LLC") for the benefit of Barbara N. Lubash. Barbara N. Lubash is a manager of the LLC. The Reporting Person disclaims beneficial ownership of the shares except to the extent of her proportionate pecuniary interest therein.
- F15The shares are held by the Milder Community Property Trust (the "Milder Trust") for the benefit of Donald B. Milder. Donald B. Milder is a trustee of the Milder Trust. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his proportionate pecuniary interest therein.
- F16The shares are held by the Robertson Family Trust (the "Robertson Trust") for the benefit of Rebecca B. Robertson. Rebecca B. Robertson is a trustee of the Robertson Trust. The Reporting Person disclaims beneficial ownership of the shares except to the extent of her proportionate pecuniary interest therein.
- F2The shares are held by VVC I. Versant Ventures I, LLC, a Delaware limited liability company ("VV I") serves as the sole general partner of VVC I. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are managing directors and/or members of VV I and share voting and dispositive power over the shares held by VVC I; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports.
- F3Represents a pro-rata in-kind distribution of Common Stock of the Issuer for no consideration by Versant Side Fund I, L.P., a Delaware limited partnership ("VSF I") to its partners, without consideration.
- F4The shares are held by VSF I. VV I serves as the sole general partner of VSF I. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are managing directors and/or members of VV I and share voting and dispositive power over the shares held by VSF I; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports.
- F5The 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. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are managing directors and/or members of VV I and share voting and dispositive power over the shares held by VAF I-A; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports.
- F6The 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. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are managing directors and/or members of VV I and share voting and dispositive power over the shares held by VAF I-B; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports.
- F7Represents a change in the form of ownership by virtue of the receipt of shares in the pro-rata in-kind distribution of Common Stock of the Issuer for no consideration by VVC-I.
- F8The shares are held by VV I. Brian G. Atwood, Samuel D. Colella, Ross A. Jaffe, William J. Link, Ph.D., Donald B. Milder, Rebecca B. Robertson and Barbara N. Lubash are managing directors and/or members of VV I and share voting and dispositive power over the shares held by VV I; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein. William J. Link, Ph.D. is a director of the Issuer and, accordingly, files separate Section 16 reports.
- F9Represents a change in the form of ownership by virtue of the receipt of shares in the pro-rata in-kind distribution of Common Stock of the Issuer by VSF I.
Remarks
Filing 2 of 2