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GLAUKOS Corp — Director's Dealing 2015
Jun 30, 2015
31074_dirs_2015-06-30_775c7292-0acf-44e7-8543-e2c513c4c918.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: GLAUKOS Corp (GKOS)
CIK: 0001192448
Period of Report: 2015-06-30
Reporting Person: LINK WILLIAM J PHD (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-06-30 | Common Stock | C | 2868959 | — | Acquired | 2868959 | Indirect |
| 2015-06-30 | Common Stock | M | 27612 | — | Acquired | 2896571 | Indirect |
| 2015-06-30 | Common Stock | F | 11736 | $18.00 | Disposed | 2884835 | Indirect |
| 2015-06-30 | Common Stock | C | 61886 | — | Acquired | 61886 | Indirect |
| 2015-06-30 | Common Stock | M | 577 | — | Acquired | 62463 | Indirect |
| 2015-06-30 | Common Stock | F | 246 | $18.00 | Disposed | 62217 | Indirect |
| 2015-06-30 | Common Stock | C | 131738 | — | Acquired | 131738 | Indirect |
| 2015-06-30 | Common Stock | M | 1296 | — | Acquired | 133034 | Indirect |
| 2015-06-30 | Common Stock | F | 551 | $18.00 | Disposed | 132483 | Indirect |
| 2015-06-30 | Common Stock | C | 56379 | — | Acquired | 56379 | Indirect |
| 2015-06-30 | Common Stock | M | 552 | — | Acquired | 56931 | Indirect |
| 2015-06-30 | Common Stock | F | 235 | $18.00 | Disposed | 56696 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-06-30 | Series A Convertible Preferred Stock | $ | C | 552000 | Disposed | Common Stock (552000) | Indirect | |
| 2015-06-30 | Series A Convertible Preferred Stock | $ | C | 12000 | Disposed | Common Stock (12000) | Indirect | |
| 2015-06-30 | Series A Convertible Preferred Stock | $ | C | 25200 | Disposed | Common Stock (25200) | Indirect | |
| 2015-06-30 | Series A Convertible Preferred Stock | $ | C | 10800 | Disposed | Common Stock (10800) | Indirect | |
| 2015-06-30 | Series B Convertible Preferred Stock | $ | C | 851852 | Disposed | Common Stock (851852) | Indirect | |
| 2015-06-30 | Series B Convertible Preferred Stock | $ | C | 18518 | Disposed | Common Stock (18518) | Indirect | |
| 2015-06-30 | Series B Convertible Preferred Stock | $ | C | 38888 | Disposed | Common Stock (38888) | Indirect | |
| 2015-06-30 | Series B Convertible Preferred Stock | $ | C | 16666 | Disposed | Common Stock (16666) | Indirect | |
| 2015-06-30 | Series C Convertible Preferred Stock | $ | C | 479714 | Disposed | Common Stock (479714) | Indirect | |
| 2015-06-30 | Series C Convertible Preferred Stock | $ | C | 10428 | Disposed | Common Stock (10428) | Indirect | |
| 2015-06-30 | Series C Convertible Preferred Stock | $ | C | 21900 | Disposed | Common Stock (21900) | Indirect | |
| 2015-06-30 | Series C Convertible Preferred Stock | $ | C | 9386 | Disposed | Common Stock (9386) | Indirect | |
| 2015-06-30 | Series D Convertible Preferred Stock | $ | C | 548464 | Disposed | Common Stock (548464) | Indirect | |
| 2015-06-30 | Series D Convertible Preferred Stock | $ | C | 11805 | Disposed | Common Stock (11805) | Indirect | |
| 2015-06-30 | Series D Convertible Preferred Stock | $ | C | 25226 | Disposed | Common Stock (25226) | Indirect | |
| 2015-06-30 | Series D Convertible Preferred Stock | $ | C | 10791 | Disposed | Common Stock (10791) | Indirect | |
| 2015-06-30 | Series E Convertible Preferred Stock | $ | C | 163592 | Disposed | Common Stock (163592) | Indirect | |
| 2015-06-30 | Series E Convertible Preferred Stock | $ | C | 3420 | Disposed | Common Stock (3420) | Indirect | |
| 2015-06-30 | Series E Convertible Preferred Stock | $ | C | 7684 | Disposed | Common Stock (7684) | Indirect | |
| 2015-06-30 | Series E Convertible Preferred Stock | $ | C | 3271 | Disposed | Common Stock (3271) | Indirect | |
| 2015-06-30 | Series F Convertible Preferred Stock | $ | C | 273337 | Disposed | Common Stock (273337) | Indirect | |
| 2015-06-30 | Series F Convertible Preferred Stock | $ | C | 5715 | Disposed | Common Stock (5715) | Indirect | |
| 2015-06-30 | Series F Convertible Preferred Stock | $ | C | 12840 | Disposed | Common Stock (12840) | Indirect | |
| 2015-06-30 | Series F Convertible Preferred Stock | $ | C | 5465 | Disposed | Common Stock (5465) | Indirect | |
| 2015-06-30 | Series D Convertible Preferred Stock Warrant (right to buy) | $7.65 | M | 27612 | Disposed | Common Stock (27612) | Indirect | |
| 2015-06-30 | Series D Convertible Preferred Stock Warrant (right to buy) | $7.65 | M | 577 | Disposed | Common Stock (577) | Indirect | |
| 2015-06-30 | Series D Convertible Preferred Stock Warrant (right to buy) | $7.65 | M | 1296 | Disposed | Common Stock (1296) | Indirect | |
| 2015-06-30 | Series D Convertible Preferred Stock Warrant (right to buy) | $7.65 | M | 552 | Disposed | Common Stock (552) | Indirect |
Footnotes
F1: The 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.
F2: The 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).
F3: The 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.
F4: The 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.
F5: The 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.
F6: The 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.