SEC Form 4 · accession 0001209191-16-126094
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
Jun 2, 2016
Accepted (ET)
Jun 6, 2016 · 7:25 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 | Jun 2, 2016 | J | 128,758 | $0.00 | D | 0 | I | see footnote |
| Common StockF4 | Jun 2, 2016 | J | 18,909 | $0.00 | A | 19,898 | I | see footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F5 | $24.69 | Jun 2, 2016 | A | 15,000 | A | — | Jun 2, 2026 | Common Stock | 15,000 | 15,000 | D |
Explanation of responses
- F1Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Versant Ventures I, LLC, a Delaware limited liability company ("VV I") without consideration to its members.
- F2The 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 entity except to the extent of his pecuniary interests therein.
- F3Represents 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 VV I.
- F4The 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.
- F5Granted pursuant to the Issuer's 2015 Omnibus Incentive Compensation Plan. Vests in full on the one-year anniversary of the grant date.