SEC Form 4 · accession 0001209191-16-125340
GLAUKOS Corp · GKOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William J Link Ph.D.
Director
Period of report
May 31, 2016
Accepted (ET)
Jun 2, 2016 · 9:19 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 | 989 | $0.00 | A | 989 | 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 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.
- 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. The Reporting Person is a managing 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.
- 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. The Reporting Person is a managing 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.
- F5The shares are held by Versant Affiliates Fund I-A, L.P., a Delaware limited partnership ("VAF I-A"). The Reporting Person is a managing 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 his pecuniary interests therein.
- F6The shares are held by Versant Affiliates Fund I-B, L.P., a Delaware limited partnership ("VAF I-B"). The Reporting Person is a managing 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.
- 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. The Reporting Person is a managing member of VV I and shares voting and dispositive power over the shares held by VV I; however, he disclaims beneficial ownership of the shares held by such entities except to the extent of his pecuniary interests therein.
- 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.