GLAUKOS Corp — Director's Dealing 2015

Jun 30, 2015

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: GLAUKOS Corp (GKOS)
CIK: 0001192448
Period of Report: 2015-06-30

Reporting Person: MONTREUX EQUITY PARTNERS IV LP (10% Owner)
Reporting Person: Montreux Equity Management IV, LLC (10% Owner)
Reporting Person: Montreux IV Associates, LLC (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2015-06-30	Common Stock	C	3118406	—	Acquired	3118406	Indirect
2015-06-30	Common Stock	C	161406	—	Acquired	161406	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2015-06-30	Series C Convertible Preferred Stock	$	C	1415449	Disposed		Common Stock (1415449)	Indirect
2015-06-30	Series C Convertible Preferred Stock	$	C	108360	Disposed		Common Stock (108360)	Indirect
2015-06-30	Series D Convertible Preferred Stock	$	C	630788	Disposed		Common Stock (630788)	Indirect
2015-06-30	Series D Convertible Preferred Stock	$	C	37186	Disposed		Common Stock (37186)	Indirect
2015-06-30	Series E Convertible Preferred Stock	$	C	288429	Disposed		Common Stock (288429)	Indirect
2015-06-30	Series F Convertible Preferred Stock	$	C	783740	Disposed		Common Stock (783740)	Indirect
2015-06-30	Series F Convertible Preferred Stock	$	C	15860	Disposed		Common Stock (15860)	Indirect

Footnotes

F1: The shares of 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: Montreux 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''). John Savarese, M.D., Howard D. Palefsky and Daniel K. Turner III are directors and/or members of MEM IV and share voting and dispositive power over the shares held by MEP IV, MA IV and MEM IV; however, they disclaim beneficial ownership of the shares held by such entities except to the extent of their pecuniary interests therein.